the kauffman early education exchange€¦ · the conferences include presentations from leading...

T H E K A U F F M A N

E A R LY E DU C AT ION E XC H A NG E

S E T F O R S U C C E S S :B U I L D I N G A S T R O N G F O U N D A T I O N F O R S C H O O L R E A D I N E S S B A S E D

O N T H E S O C I A L - E M O T I O N A L D E V E L O P M E N T O F Y O U N G C H I L D R E N

T H E E W I N G M A R I O N K A U F F M A N F O U N D A T I O N

T H E K A U F F M A N E A R L Y E D U C A T I O N E X C H A N G E

Vo l u m e 1 , N u m b e r 1

S u m m e r 2 0 0 2

P u b l i s h e d b y

T h e E w i n g M a r i o n K a u f f m a n F o u n d a t i o n

w w w . e m k f . o r g

A B O U T T H E K A U F F M A N E A R L Y E D U C A T I O N E X C H A N G E

The Ewing Marion Kauffman Foundation created the Kauffman Early Education Exchangeconference series as a forum to share timely and important information about the developmentof very young children. This series provides a neutral, nonpartisan setting where issues andimplications can be explored. The Kauffman Foundation hosts one conference a year on aselected topic related to early childhood development and early education. These nationalconferences exchange information and scientific knowledge and consider the implicationsfor policy and practice toward the goal of creating a system of high-quality early educationfor all children in America. The conferences include presentations from leading experts andresearchers who are invited to present papers written for the Exchange. The papers explorevarious perspectives of the issue selected for each conference. This publication is the post-conference report that features all of the papers presented at the inaugural conference.These publications are distributed to policymakers, practitioners, researchers and othersengaged in advancing effective policies and programs for young children.

The inaugural Kauffman Early Education Exchange conference was held on November 12,2001. The topic focused on the social and emotional development of young children as anessential building block to prepare for school success. The Kauffman Foundation expressesits appreciation to two individuals who helped to plan and organize this first conference:Joan Lombardi, Ph.D., Child and Family Policy Specialist, Washington, DC, who served as a planning consultant and facilitator during the conference; and Jane Knitzer, Ph.D.,Deputy Director of the National Center for Children in Poverty at Columbia University,New York, NY, who served as a content expert and planning consultant.

The Ewing Marion Kauffman Foundation, 4801 Rockhill Road, Kansas City, MO 634110, publishes the KauffmanEarly Education Exchange report and executive summary. (ISBN #1-891616-22-6) The Kauffman Early EducationExchange report is distributed free of charge through a controlled circulation. Opinions expressed by the writers in this report are their own and are not to be considered those of the Kauffman Foundation. Authorization to photocopyarticles for personal use is granted by the Kauffman Foundation. Reprinting is encouraged, with the following attribution:From the Kauffman Early Education Exchange, a publication of the Ewing Marion Kauffman Foundation, © 2002.To be added to the mailing list for future reports, write to Kauffman Early Education Exchange, The Ewing MarionKauffman Foundation Fulfillment Center, P.O. Box 12444, North Kansas City, MO 64116. This report and executivesummary are available on the Kauffman Foundation’s Web site at www.emkf.org/pages/12.cfm. Photographs thatappear in this report were acquired independently of the articles and do not have a direct relationship to materialdiscussed in each article.

http://www.emkf.org

http://www.emkf.org/pages/12.cfm

The first Kauffman Early Education conference was held on November 12, 2001.Presentations included remarks from the following individuals:

FAC I L I TATOR :

Joan Lombardi, Child and Family Policy Specialist and Director of The Children’s Project, Washington, DC

PR E SE N T E R S : The presenters who wrote papers for this first Kauffman EarlyEducation Exchange conference were:

Ross Thompson, Ph.D., University of Nebraska, Lincoln, NE

Linda Espinosa, Ph.D., University of Missouri-Columbia, Columbia, MO

Oscar Barbarin, Ph.D., University of North Carolina, Chapel Hill, NC

Paul Donahue, Ph.D., Center for Prevention Psychiatry, Scarsdale , NY

Roxane Kaufmann, M.A., Georgetown University Child Development Center, Washington, DC

Deborah Perry, Ph.D., Georgetown University, Child Development Center, Washington, DC.,

Jane Knitzer, Ed.D., National Center for Children in Poverty, Columbia University, New York, NY

PA N E L I STS : A conference panel discussion about effective early educationpractices that promote social-emotional development included remarks from:

Dwayne Crompton, Executive Director, KCMC Child Development Corporation, Kansas City, MO

Deborah Hoskins, Community Resources Manager, KCMC Child Development Corporation,Kansas City, MO

Brenda Loscher-Hudson, Education Consultant, KCMC Child Development Corporation;Kansas City, MO

DI S C U S S A N TS : Four experts in the field served as discussants at the conference:

Marilou Hyson, Ph.D., Associate Executive Director of Professional Development, NationalAssociation for the Education of Young Children, Washington, DC

Tammy Mann, Ph.D., Director, Early Head Start National Resource Center, Zero to Three NationalCenter, Washington, DC

Sandra Adams, Ph.D., Center for Prevention and Early Intervention, Florida State University,Tallahassee, FL

Jack Shonkoff, M.D., Dean, The Heller School for Social Policy and Management,Brandeis University, Waltham, MA

P L A N N I NG T E A M : The Kauffman Early Education Exchange is planned and administered by the Kauffman Foundation Early Education Team:

Sylvia Robinson, Vice President, Early Education

Lisa Klein, Senior Program Officer, Early Education

Adriana Pecina, Senior Program Officer, Early Education

Joy Culver Torchia, Communications Manager

Laura Loyacono, Public Affairs Manager

Bonnie Johnson, Training and Development Consultant

Tricia Hellmer, Senior Research Associate

Design by: Ampersand, Inc., advertising & design, Kansas City, MO

T A B L E O F C O N T E N T S

I N T R O D U C T I O N

Set for Success: Building a Strong Foundation for School Readiness Based on the Social-Emotional Development of Young Children . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

T H E V I E W F R O M R E S E A R C H

The Roots of School Readiness in Socialand Emotional Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

The Connection Between Social-Emotional Development and Early Literacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Culture and Ethnicity in Social, Emotional and Academic Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

T H E V I E W F R O M T H E F I E L D

Promoting Social and Emotional Development in Young Children: The Role of Mental Health Consultants in Early Childhood Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Promoting Social and Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

I M P L I C A T I O N S F O R P O L I C Y A N D P R A C T I C E

Promoting Social and Emotional Readiness for School:Toward a Policy Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

© 2002. The Ewing Marion Kauffman Foundation / 4801 Rockhill Road, Kansas City, MO 64110-2046 / All rights reserved.

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S E T F O R S U C C E S S :B U I L D I N G A S T R O N G F O U N D A T I O N F O R

S C H O O L R E A D I N E S S B A S E D O N T H E

S O C I A L - E M O T I O N A L D E V E L O P M E N T

O F Y O U N G C H I L D R E N

L I S A G . K L E I N , P H . D .

State reports of the percentage ofchildren that are not prepared to enterschool ready to succeed range from 20%to 49%. In response, multiple federal,state, and local initiatives are aimed atpromoting school readiness andacademic success beginning with ouryoungest children and their families.In 1994, Congress enacted the EducateAmerica Act, with the first goal being:“All children shall enter school ready tolearn.” The 107th Congress introducedthe Foundations for Learning Act, aimedat reducing the risk of early schoolfailure. On April 2, 2002, President Bushannounced a new early childhoodinitiative called:“Good Start, GrowSmart,” a plan to strengthen earlylearning in young children.

Research evidence from the NationalAcademy of Sciences and others hasdemonstrated that children enteringschool with well-developed cognitiveand social skills are most likely tosucceed and least likely to need costly

intervention services later through eitherspecial education or juvenile justice. Thescience of early childhood has repeatedlyprovided evidence that strong social-emotional development underlies alllater growth and development.Youngchildren who develop strong earlyrelationships with parents, family,caregivers and teachers learn how to payattention, cooperate and get along withothers. As a result, they are confident intheir ability to explore and learn fromthe world around them.

Stated simply, positive relationships areessential to a child’s ability to grow uphealthy and achieve later social,emotional and academic success.

There are, however, several challenges to translating the science into effectiveprograms and policies that promoteschool readiness and success: societalbeliefs about childrearing, economicdeficits in the states, and the tragic eventsof September 11. Overall strategies forachieving the goal of preparing childrento succeed include:

Lisa G. Klein, Ph.D.

Semior Program Officer,

Early Education

Ewing Marion Kauffman

Foundation

phone: 816-932-1000

[email protected]

I N T R O D U C T I O N

mailto:[email protected]

• Creating a common understandingof what good social-emotionaldevelopment is and how it underlieslater academic success;

• Building broad-based public andpolitical will to make the healthygrowth and comprehensivedevelopment of young children a priority;

• Committing public and privateinvestment in the types of programsand policies that are proven to resultin greater success for young childrenand families;

• Building expertise for parents,families, providers and teachers in order to promote strong social-emotional development in all youngchildren, particularly those at-riskfor serious problems and delays; and

• Assuring good outcomes by assessingprogress and tracking indicators ofsocial-emotional development andits relation to later school readinessand academic success.

T H E K AU F F M A N E A R LYE DU C AT ION E XC H A NG E

The Ewing Marion KauffmanFoundation sponsored the first in aseries of Exchanges in Early Education in November 2001. The purpose of theseries is to determine how research,practice, and policy can best prepareyoung children and families for laterschool success. The focus of theinaugural Exchange highlighted the linkbetween social-emotional developmentand later cognitive development. Twelveleading experts in the field of early

childhood development madepresentations. This document containsthe full commissioned papers from six of the 12 invited speakers.

T H E R E SE A RC H BASE

The Exchange began with a series ofpapers that presented the latest scientificresearch and compelling evidence aboutwhat is necessary to prepare youngchildren for school success.

T H E RO OTS OF S O C I A L- E MOT IONA L

DEV E LOP M E N T

Ross Thomps on , Ph . D.

The National Academy of Sciences study“From Neurons to Neighborhoods:The Science of Early ChildhoodDevelopment,” reported on threequalities that children need to be readyfor school: intellectual skills, motivationto learn and strong socioemotionalcapacity. It is the last area that isdescribed in greater detail. Schoolsuccess requires young children be ableto: understand their own feelings and theviewpoint and feelings of others,cooperate with both peers and adults,resolve conflict successfully and controltheir own behavior. Evidence shows thatyoung children who have establishedpositive relationships with parents,caregivers and teachers are secure andconfident in exploring new situationsand mastering learning challenges.

02I N T R O D U C T I O N

Set for Success : Building a Strong Foundation for School Readiness Based on the Social-Emotional De velopment of Young Children

T H E C ON N E C T ION S B ET W E E N

S O C I A L- E MOT IONA L DEV E LOP M E N T

A N D E A R LY L I T E R AC Y

Lind a Espinos a , Ph . D. and

Rebecca Mc Cathre n , Ph . D.

During the first year of life, jointattention occurs between mother orcaregiver and child when the infant and adult are interacting and establishthe earliest stage of pre-languagecommunication. For preschoolers, play isthe best way young children develop pre-literacy language and communication.As they grow, the adults who care forthem and their attitudes, beliefs andlevel of literacy influence children’sexposure and interest in reading. Theliterature provides compelling evidencethat nurturing relationships andresponsive social environments set thestage for language and literacy aschildren grow and mature.

C U LT U R E A N D ET H N IC I T Y I N

S O C I A L , E MOT IONA L , A N D AC A DE M IC

DEV E LOP M E N T

Os car B arbar in , Ph . D.

Stressors facing many poor children of color that limit their ability tosuccessfully cope include: earlydeprivation or trauma, family instabilityor conflict, involvement in the childwelfare system, and neighborhooddanger and limited resources. Evidencealso shows that many childrenexperiencing problems in social-emotional functioning are alsoexperiencing delay in the acquisition ofearly academic skills. Early identificationof mental health problems in ethnicminority children coupled with effectivereferral and service delivery has long-term implications for preventingacademic failure.

I M P L IC AT ION S F OR PR AC T IC E

The second series of papers focus on theimplications for programs and strategiesfor practice to promote positive earlyrelationships and to intervene whenyoung children are at risk or experienceemotional and behavioral problems.

PROM I SI NG S O C I A L- E MOT IONA L

DEV E LOP M E N T I N YOU NG C H I L DR E N :

T H E ROL E OF M E N TA L H E A LT H

C ON SU LTA N TS I N E A R LY

C H I L DHO OD SET T I NG S

Paul D onahue , Ph . D.

With more than 60% of children underage six in some form of child care, it isclear that early childhood educators playa major role in shaping young children’ssocial, emotional and cognitivedevelopment. Science reveals that ouryoungest children experience anywherefrom mild to severe mental healthproblems. Early childhood programshave become logical places to establishpartnerships between mental healthprofessionals, teachers, families andchildren. A collaborative model ofmental health consultation in preschoolsettings provides both prevention andintervention to families in safe, trustedand easily accessible environments.Mental health consultation providespreventative services to help familiessupport their child’s full development.In addition, intervention servicessupport at-risk children and families and those already experiencing problemssuch as depression or behavior problemsbefore they lead to academic delay.

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PROMOT I NG S O C I A L- E MOT IONA L

DEV E LOP M E N T I N YOU NG C H I L DR E N :

PROM I SI NG A P PROAC H E S AT

T H E NAT IONA L , STAT E A N D

C OM M U N I T Y L EV E L S

Rox ane Kauf m ann , Ph . D. and

D eborah Per r y, Ph . D.

Head Start and Early Head Start arenational early childhood programs thatinclude prevention strategies for buildingstrong social-emotional development inyoung children and helping familiescope with increasing stress. StartingEarly Starting Smart (SESS), an initiativebetween the Casey Family Foundationand the Substance Abuse and MentalHealth Services Administration(SAMHSA), is a demonstration effort innine states that integrates behavioralhealth services into accessible, non-threatening setting where familiesusually take their children like earlyeducation settings and pediatric healthcare facilities. Vermont, the only state tobuild a statewide system of mental healthservices and supports, has integratedthese services into the early child-servingsystem to promote the well-beingof young children. The city ofSan Francisco has pooled more than $2 million to provide mental healthconsultation services to more than 50child care centers and more than 100family child care homes. These representa few of the examples of programs thatpromote both the social-emotional andcognitive development of young children.

I M P L IC AT ION S F OR P OL IC Y

The final paper outlines a policy agendafor enhancing school readiness built onthe recognition that success is determinedby social, emotional and cognitivecompetencies in young children.

PROMOT I NG S O C I A L- E MOT IONA L

R E A DI N E S S F OR S C HO OL : TOWA R D

A P OL IC Y AG E N DA

Jane Knit zer, Ph . D.

Despite the extensive knowledge abouthow early relationships set the stage forlater academic achievement, it can bechallenging to find easy language toexplain the importance of social-emotional development and mentalhealth of young children to the generalpublic and policymakers. In addition,very few policies provide direction orresources for linking social-emotionaldevelopment with later cognitivedevelopment. Given the currenteconomic environment at the federaland state levels, most of the policies thatdo exist are under-funded and do notprovide resources necessary toimplement the practices that science hasshown lead to both positive social-emotional development and later schoolsuccess. However, there is anopportunity to build on the federalagenda on school readiness. TheFoundations for Learning Actintroduced by Congress is intended toprevent school failure and provides forsome social-emotional services foryoung children and families. Thecharacteristics of policies that promotethe well-being of children socially,emotionally and cognitively include:

04I N T R O D U C T I O N

Set for Success : Building a Strong Foundation for School Readiness Based on the Social-Emotional De velopment of Young Children

• enhancing the well-being of all children,particularly those at highest risk;

• helping parents become more effectivenurturers of their children;

• expanding the competencies of othercaregivers and teachers to manage andprevent social and behavioralproblems; and

• ensuring that more seriously troubledchildren and families receiveappropriate services.

R E C OM M E N DAT ION S

The time is right to build on theknowledge base and current initiativestargeting school readiness and successfor young children and families. In orderto accomplish these goals, the followingrecommendations are made:

• Social-emotional development andacademic achievement are notseparate priorities, rather they mustbe understood as representing thecontinuum of development that isneeded for children to grow uphealthy and succeed in school.

• The knowledge base linking social,emotional and cognitivedevelopment exists but needs to bemore broadly disseminated toparents, teachers, caregivers andpolicymakers in order for publicinvestment to be made in programsand practices proven to help youngchildren succeed in school.

• Programs need to provide trainingand education to promote social-emotional development and theimportance of strong relationshipsbetween young children and theirfamilies, their teachers and theircaregivers if young children are tosucceed without the need for costlyinterventions in special education orjuvenile justice.

• Mental health services offered tochildren and families in familiar,trusted, non-threateningcommunity-based settings such aschild care, schools, communitycenters can be a preventionopportunity to help promote strongsocial-emotional and cognitivedevelopment as well as anintervention service to thosechildren and families at risk fordeveloping delays or seriousproblems that will deter laterachievement and success.

• Policies that enhance the social,emotional and cognitive well-beingof infants, toddlers, preschoolers andtheir families must be a priority andreceive appropriate publicinvestment in order to achieve thegoal of children entering schoolready to learn and succeed.

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The Roots of School Readiness in Socialand Emotional Development

ROSS A. THOMPSON, PH.D.

Carl A. Happold, Distinguished Professor of Psychology

University of Nebraska, Lincoln, NE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

The Connection Between Social-Emotional Development and Early Literacy

L INDA ESPINOSA, PH.D.

Associate Professor of Education

University of Missouri-Columbia, Columbia, MO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Culture and Ethnicity in Social, Emotional and Academic Development

OSCAR A. BARBARIN, PH.D.

L. Richardson and Emily Preyer Bicentennial Distinguished Professor for Strenthening Families

University of North Carolina, Chapel Hill, NC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

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08T H E V I E W F R O M R E S E A R C H

T h e R o o t s o f S c h o o l R e a d i n e s s i n S o c i a l a n d E m o t i o n a l D e v e l o p m e n t


T H E R O O T S O F S C H O O L R E A D I N E S S I N S O C I A L

A N D E M O T I O N A L D E V E L O P M E N T

R O S S A . T H O M P S O N , P H . D .



W H AT A R E T H E QUA L I T I E ST H AT YOU NG C H I L DR E N N E E DTO B E R E A DY F OR S C HO OL ?

• The first are I N T E L L E C T UA L skills.When preschoolers have learned howprinted letters relate to sounds andwords, can use simple number concepts,and can express themselves clearly withlanguage, it provides a foundation forlearning in the primary grades.

• A second feature of school readiness areMOT I VAT IONA L qualities. Youngchildren should arrive at school excitedabout learning, curious and confidentin their ability to succeed, andconvinced that school is important tothem and their future. These qualitiesprovide children with the receptivity tolearning opportunities that is essentialto school success.

• A third quality of school readiness isS O C IOE MOT IONA L . Learning is not anisolated activity but occurs amongpeers with the guidance of an adultteacher. School success requires thatchildren are capable of understandingother peoples’ feelings and viewpoints,cooperating with adults and peers,exercising emotional and behavioralself-control, and resolvingdisagreements constructively. Thesequalities ensure that children canparticipate in learning alongside others.

When these three qualities of schoolreadiness — intellectual, motivationaland socioemotional — are consideredtogether, they portray a child who isprepared to learn (National EducationalGoals Panel, 1997). Yet many childrenarrive at school intellectually unpreparedfor new learning, and many more arrivesocially and emotionally unprepared forthe classroom. This is a special concernfor children from stressful,socioeconomically disadvantagedcircumstances who are at risk ofemotional and social difficulty, and whoare thus in greater danger of problemswhen they reach kindergarten (Brooks-Gunn, Duncan, & Aber, 1997; Dodge,Petit, & Bates, 1994).

W H E N T H E SE T H R E E QUA L I T I E S of s chool

readiness — intel lec tual , motivational and

socioemotional — are considered together,

the y por tray a chi ld w ho is prepared to lear n

Ross A. Thompson, Ph.D.

Carl A. Happold,

Distinguished Professor

of Psychology

Department of Psychology

University of Nebraska

238 Burnett Hall

Lincoln, NE 68588-0308

phone: 402-472-3187

[email protected]


School readiness derives from manyinfluences in the home, child care,community and elsewhere. Although the home is the primary setting whereschool readiness develops in youngchildren, child care experiences are also important (especially for childrenwho spend considerable time in thesesettings). The community also isinfluential for the resources and supportit provides children and their families.The intellectual preparation of youngchildren for school is central, of course,but is also the easiest for kindergartenteachers to remedy because they areaccustomed to working with childrenwith varying cognitive capabilities andskills. By contrast, kindergarten teachersreport that they are most concerned withchildren who lack the motivational andsocioemotional qualities of schoolreadiness, because it is more difficult to assist children who are not interestedin learning, lack confidence in theirsuccess, or incapable of cooperation and self-control (Lewit & Baker, 1995;Rimm-Kaufman, Pianta, & Cox, 2000).In the words of one teacher, the problemis that “the kids are sad, mad and bad,it’s not that they can’t add.”

Kindergarten teachers understand that itis difficult to educate young minds whenchildren have not developed the social,emotional and self-regulatory capacitiesthat are required in the classroom. It isnot simply that it is easier to teach youngchildren who are cooperative, sociableand listen carefully. Rather, children’ssuccessful transition to kindergarten and their subsequent academic successhinge critically on the relationships thatchildren develop with their teachers andpeers, their capacities to cooperate andresolve conflict successfully in the

classroom, and their successfulparticipation in group learning activities(Ladd, Birch, & Buhs, 1999; Ladd, Buhs,& Troop, in press; Ladd & Price, 1987).In one study, conflict in the relationshipsbetween kindergarten teachers andchildren predicted children’s academicperformance and behavior problemsthrough eighth grade (Hamre & Pianta,in press). Because young children’s social and scholastic lives are linked in kindergarten, early social andemotional development is an importantdeterminant of school readiness. This is consistent with the science of earlychildhood development, which showsclearly that intellectual, socioemotionaland physical development areintertwined and complementary featuresof the young child’s growth (NationalResearch Council, 2001).

This paper summarizes the foundations ofearly social and emotional developmentwith respect to school readiness. Thediscussion begins with children’srelationships with their parents, childcareproviders, and other adults who matter tothem. Developmental scientists havefound that child-adult relationshipsprovide a psychological foundation formany of the socioemotional qualities thatunderlie school readiness, and thediscussion will explain how. Next, some ofthe central accomplishments of earlysocial and emotional development areprofiled: understanding other people, self-understanding, emotional growth, self-control, conscience development and theemergence of peer relationships.

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T H E K I D S A R E s a d , m a d and b a d , it’s not

that the y can’t add .

The preschool years are a pivotal periodfor each of these accomplishments, andthe relevance of each achievement to thequalities that constitute school readiness is also described. Finally, studies of theorigins of school readiness are surveyed.These underscore the importance of therelationships that children share withparents, caregivers and with the teachersand peers who are part of their earliestschool experiences. They also show howschool readiness is not just a quality ofthe individual child, but of the child ininteraction with particular people in a specific academic context. Theseconclusions are summarized with respectto how best to ensure school readiness inyoung children.

R E L AT ION SH I P S

Relationships have been described as the “active ingredients” of healthypsychological development in the earlyyears (National Research Council andInstitute of Medicine, 2000). Why is this so? Simply put, relationships are the prism through which young childrenlearn about the world, including theworld of people and of the self. A baby’sexcited exploration of new places ispredicated on the companionship ofa trusted adult who provides a “securebase” for the child’s discoveries. A toddlerwho looks up expectantly toward aparent when encountering an

unexpected event depends on the adult’semotions for guidance about how torespond. A preschooler shows a drawingto a caregiver, and the adult’s responseelicits the child’s feelings of pride (orshame) in the achievement, and themotivation to achieve more. A 5- or 6-year-old is excited about going tokindergarten because of the parent’spleasure and pride in their doing so.Young children depend on theirrelationships with adults to tutor them about themselves and the worldthey inhabit.

Relationships make people matter. Thepeople who matter to a young child arethose who know the child well, andwhom the child knows well and can trust.This is the result of relationships. Butrelationships make people matter inanother way also. Relationships causeyoung children to care about people by establishing the human connectionbetween self and others.As a consequenceof relationships, children seek tounderstand the feelings of others, people’sthoughts and expectations, and theimportance of cooperation and sharing.The human connection afforded by closerelationships causes young children todevelop psychological understanding,absorb the values of the culture and striveto become competent in ways that othersare. Through relationships, youngchildren also learn about who they are,especially as it is revealed in the ways theyare seen by people who matter to them.



B E C AU SE YOU NG C H I L DR E N’ S s oc i al and

s cholast ic lives are linked in kin dergar te n ,

early s oc i al and e motional de velopme nt i s

an impor tant deter minant of s chool readiness .

R E L AT ION SH I P S A R E T H E PR I SM through

w hich young childre n lear n about the world ,

including the world of people and of the s elf.

This is why the quality of earlyrelationships are a far more significantinfluence on early learning than areeducational toys, preschool curricula orMozart CDs. Relationships guide howyoung children learn about the world,people and themselves.

Relationships are important, but as with adults, they vary in their quality.Developmental scientists commonly viewthe quality of early relationships in termsof the security or insecurity they affordthe child (Cassidy & Shaver, 1999; Colin,1996; Thompson, 1998, 1999).Althoughvirtually all infants and young childrendevelop deep emotional attachments to those who care for them within andoutside the home, they differ in theconfidence or security they experience in these relationships. Secure attachmentsarise from the warmth and sensitivity ofan adult’s care, and insecure attachmentsderive from care that is less reliable,consistent or supportive of the child.As aresult, the extent to which young childrenrely on their caregivers, especially inchallenging or threatening circumstances,is based on the support they have receivedfrom these adults in the past.Attachmentsdevelop during the first year and have acontinuing influence on psychologicaldevelopment throughout childhood —and indeed, throughout life.Youngchildren develop emotional attachmentsto their mothers and fathers, of course, aswell as to other adults who regularly carefor them — including child care providers(Berlin & Cassidy, 1999; Howes, 1999) —although attachments to parents remain preeminent.

Secure or insecure attachments haveconsequences for many aspects of earlydevelopment, whether those attachmentsare with parents or other caregivers. Evenin infancy, securely attached children canbe easily distinguished from insecurelyattached children because of their more confident exploration of newsituations and their more competentmastery of learning challenges (Arend,Gove, & Sroufe, 1979; Matas, Arend,& Sroufe, 1978). At later ages, securelyattached young children have been foundto have a more balanced self-concept(Cassidy, 1988; Verschueren, Marcoen,& Schoefs, 1996), more advancedmemory in certain domains (Belsky,Spritz, & Crnic, 1996; Kirsh & Cassidy,1997), more sophisticated emotionalunderstanding (Laible & Thompson,1998), a more positive understanding of friendship (Cassidy, Kirsh, Scolton,& Parke, 1996; Kerns, 1996), and moreadvanced conscience development(Kochanska, 1997; Laible & Thompson,2000). Attachment theorists believe thatthese outcomes arise because of how a secure (or insecure) attachmentinfluences a young child’s developingunderstanding of emotion, morality,friendship and other psychological facets of human interaction. Caregiversinfluence children in many ways besides

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the security they inspire, such as in theopportunities they provide for newlearning and acquiring new skills. But theresearch on early attachments not onlyunderscores how early relationships areindeed the “active ingredients” of healthypsychological growth, but shows how thesecurity or insecurity inspired by theserelationships has far-reaching effects on young children’s socioemotional,intellectual and personal development.

UNDERSTANDING OTHER PEOPLE

One of the most importantachievements of early childhood is agrowing understanding of the inner,psychological world of people. Contraryto the traditional portrayal ofpreschoolers as egocentric and self-preoccupied, young children have a verynon-egocentric interest in how the needsand desires, beliefs and thoughts ofothers compare with their own. It isreasonable that they should be sointerested, because understanding otherpeople relies on an appreciation of howinvisible psychological states (desires,feelings, thoughts, expectations) underlie behavior. But because internalthoughts and beliefs are invisible, thisunderstanding is difficult to acquire.Infants show a dawning appreciation ofinternal states when they seek to redirecta caregiver’s attention through piercingshrieks or grunts, and toddlers exhibit a more advanced understanding when

they consult a caregiver’s facialexpressions for cues about how torespond in an uncertain or unfamiliarsituation (such as when encountering an unfamiliar person) (Feinman, 1992).At the same age, very young children also use their inferences about an adult’sintentions when learning words(Baldwin & Moses, 1994), and theirearliest words often make reference todesires, perceptions, emotions, needsand other internal states in themselves or others (Bartsch & Wellman, 1995).

The most significant advances inpsychological understanding occurbetween the ages of 3 and 4 (Bartsch & Wellman, 1995; Flavell & Miller, 1998).By age 3, building on the achievementsdescribed above, young children havebegun to grasp that behavior can beunderstood in terms of people’s desires,intentions, needs and feelings. Duringthe next year or so, this understandingexpands significantly to include anawareness that people are also guided by thoughts, ideas and beliefs that may —or may not — be accurate. For the firsttime, young children realize that people’smental states may not always be anaccurate depiction of reality. People can be mistaken, fooled or ignorant.



YOU NG C H I L DR E N have a ver y non-egoce ntr ic interest in how the needs and

desires , belie fs and thought s of others

compare w ith the ir ow n .

T H E MO ST SIG N I F IC A N T A DVA NC E S in

psycholog ical understanding occ ur

bet wee n the ages of 3 and 4 .

This transforms how children interactwith people in several ways. First,it enables children to have a far richerappreciation of what is going on in theminds of other people — and also theirown minds. This enables young childrento better understand and cooperate;it also permits greater deception andmanipulation, as children graduallyappreciate that the contents of their own minds need not always be disclosed,and the contents of others’ minds can bedeliberately altered. Second, it enhancesyoung children’s awareness thatdisagreements and conflict may arisebecause people’s goals, beliefs andunderstanding are discordant. Notsurprisingly, therefore, young childrenalso become more adept at resolvingconflict between themselves and otherpeople through compromise, turn-taking, persuasion and even humor.Third, the young child’s relationshipswith others, especially adults, alsochange because children can understandand balance others’ goals and viewpointswith their own, and this enables the kindof shared understanding from whichnew learning can arise. Taken together,the growth of young children’s capacitiesto understand other people makes them more competent social partners,ready for the social opportunities andchallenges of a classroom that is sharedwith an adult teacher and many peers.

SE L F- U N DE R STA N DI NG

Early childhood is also when youngchildren begin to define who they are:their likes and dislikes, theircharacteristics and their competencies.This, too, is a challengingaccomplishment because psychologicalattributes of the self are invisible, andrequire the child to begin to perceive theself as an object of analysis. In infancyand toddlerhood, the prerequisites forself-understanding are established asinfants enjoy the experience of “makingthings happen” on their own, andtoddlers become capable of physical self-recognition. Moreover, as young childrengradually develop an awareness thatother people have mental and emotionalstates that differ from the child’s own,they realize that they, too, have subjectiveexperiences that can also be shared with(or withheld from) others (Cicchetti & Beeghly, 1990; Kopp & Brownell, 1991).

Self-understanding advances significantlyin the second and third years, and this isevident in the charming and frustratingcharacteristics of this age: young childrenwho insist on “doing it myself”andrefusing assistance, an increase in verbalself-reference (e.g.,“I want,”“mine,”“Me big!”), and the emergence of self-referential emotions like pride, shame,guilt and embarrassment that reflect the emotional dimensions of perceivedcompetence or incompetence (Bullock & Lutkenhaus, 1990; Stipek, Gralinsky,& Kopp, 1990). These features of emergentself-understanding share in common thesocial arena in which young childrenassess, improve and demonstrate theircompetencies, and underscore how

13

significant are the evaluations of caregivers(explicit and implied) in the young child’semerging self-understanding and self-esteem (Stipek, Recchia, & McClintic,1992). Consistent with classic theories of the “looking-glass self,”young childrenevaluate themselves through the reflectedevaluations of people who matter to them,whether of a grandparent who applaudsthe child’s made-up song or a busy parentwho does not notice the shoes that havebeen painstakingly tied for the first time.

After age 3, another milestone in self-understanding is the emergence ofautobiographical memory (Howe &Courage, 1993; Welch-Ross, 1995). Priorto this time, young children can rememberevents from the past, but now childrenbegin to remember events because of theirpersonal significance, and they retainstories from their past that they can sharewith others. This sharing is importantbecause, as young children talk aboutrecent events, their caregivers add theirown embellishments and details that helpto consolidate the child’s personalmemory and to underscore its significance(Miller, Potts, Fung, Hoogstra, & Mintz,1990; Nelson, 1993). In doing so, ofcourse, caregivers also portray the child indispositional and evaluative ways (e.g., asnaughty or clever) that may not have beenpart of the child’s initial recollection but is likely to become incorporated into thechild’s own representation of the event.In this manner, therefore, the self-

understanding that arises fromautobiographical memory incorporatesthe parent’s own beliefs about the child’scharacteristics, capabilities and attributes(Thompson, 1998).

It is unsurprising, therefore, that by theclose of the preschool years, youngchildren can describe their ownpersonalities, and they do so in ways that resemble their mother’sperceptions of them (Eder, 1990;Eder & Mangelsdorf, 1997). Althoughpreschoolers are natural optimists withregard to their abilities — believing thatthey are capable of success at tasks atwhich they have just failed, simply bytrying again and trying harder (Stipek,1992) — this sunny self-regard can beeasily undermined by social evaluationsthat are denigrating or dismissive.From early childhood arises, therefore,the rudiments of self-concept whichmotivate excitement about learning and growing competency, and are afoundation for a young child’s self-awareness as competent or incompetent,bright or slow, and prone to success or failure.



SE L F- U N DE R STA N DI NG advances

sig nif icantly in the s econd and third years .

YOU NG C H I L DR E N can des c r ibe the ir ow n

p ers onalit ies .

YOU NG C H I L DR E N EVA LUAT E the ms elves

through the ref lec ted e valu at ions of p eople

w ho m at ter to the m .

E MOT IONA L G ROW T H

Emotions color the experience of everyyoung child, whether the emotionsconsist of exuberant delight, frustratedfury or anguished distress. There aresignificant advances in emotionaldevelopment from infancy tokindergarten that offer a window intothe psychological growth of the child(Saarni, Mumme, & Campos, 1998;Thompson, 1999b). Newborns’emotions are evoked by their physicalcondition: whether they are hungry,cold or hot, or too tired. By contrast,preschoolers’ emotions are tied to theirpsychological condition: how theyinterpret their experiences, what theythink others are doing or thinking and their expectations of future events.In early infancy, emotions can be all-consuming and are not easily managedby the child or, for that matter, byparents. But by the end of the preschoolyears, young children are capable ofanticipating and talking about theiremotions and those of others, and canbegin to enlist psychological strategiesto manage their feelings. A baby’semotional repertoire is basic, rangingfrom cooing to crying, and shaped by temperamental individuality. Bykindergarten, children have becomecapable of self-referential emotions likepride, shame, guilt and embarrassment,can feel empathy for other people, andexperience more subtly nuanced blendsof feelings (such as the combination of anger and fear) that are tied to theirdeveloping personalities. Childrenbeginning school are emotionally moresophisticated people than they were onlya few years earlier.

The emotions a child feels and observesin others are visible and apparent, bycontrast with underlying thoughts andbeliefs. But young children require theassistance of adults in understandingand interpreting their feelings. Parentsguide children’s understanding of thecauses and consequences of emotions,coach children concerning theemotional behavior that is appropriate in social situations, and provoke thefeelings of pride, guilt and shame thatunderlie self-concept (Brown, Donelan-McCall, & Dunn, 1996; Miller & Sperry,1987; Stipek, 1995). Thus youngchildren’s understanding of emotion andits effects depends on what they learnfrom their conversations with parentsabout the feelings they experience inthemselves and observe in others. Thebroader emotional climate of the homealso guides early emotional growth(Gottman, Katz, & Hooven, 1997). Thequality of the home emotional climate is a special concern when young childrengrow up in homes rent by maritalconflict (Cummings & Davies, 1994),the parent’s affective disorder likedepression (Zahn-Waxler & Kochanska,1990), parental substance abuseproblems, or parent-child relationshipsare abusive or coercive (Patterson,DeBaryshe, & Ramsey, 1989). In thesecircumstances, healthy early emotionalgrowth is impaired by overwhelmingemotional demands and inadequatesupport from parents and othercaregivers in coping.

15

BU T YOU NG C H I L DR E N require the

assistance of adult s in understan ding and

inter pret ing the ir feelings .

This is important because recent studiesshow how significantly young childrenare capable of deep sadness and grief,overwhelming anger and otheremotions that researchers previouslybelieved that young children wereincapable of experiencing.Developmental scientists now recognizethat the origins of depression andaffective disturbances, enduring conductand behavioral problems, andheightened anxiety are often found inemotional disturbances in the early years(Cassidy, 1995; Shaw, Keenan, & Vondra,1994; Zahn-Waxler & Kochanska, 1990).These early risks for emotion-relatedpsychopathology are heightened infamily environments that are abusive,troubled or coercive for young children.Because of their reliance on theemotional support of their caregivers for understanding and managing theirfeelings, troubled parent-childrelationships make young childrenparticularly vulnerable to emotion-linked disorders. These problems canalso prove to be significant challenges for school readiness when children reach kindergarten.

SE L F- C ON T ROL

Early childhood is when young childrenbegin to manage their impulses, desiresand emotions. This developmentalprocess is inaugurated in earlychildhood by emerging brain capacitiesin the prefrontal cortex (Diamond & Taylor, 1996; Gerstadt, Hong, &Diamond, 1994). How these capacitiesdevelop depends also on the socialcontext. Although preschoolers have farto go in achieving successful self-control,they are becoming more capable ofregulating their behaviors, managingtheir emotions and focusing theirattention by the time they reach school.

Both parents and children are ready forthis to occur. For young children, self-control is a reflection of being “big” andcompetent, and during the preschoolyears children acquire many of thepsychological capacities for self-control,including the ability to remember andapply standards of conduct, and to be



T H E SE E A R LY R I SK S for e motion - related

psychopatholog y are he ighte ned in family

e nv ironme nt s that are abu s ive , t roubled or

coerc ive for young chi ldre n .

self-monitoring and self-correcting(Kopp, 1982). Parents, too, are ready foryoung children to exercise self-controlwith respect to safety, consideration forothers and self-care, and parentsgradually increase their expectations foryoung children’s self-control while usingparenting strategies that rely on thechild’s cooperation (Belsky, Woodworth,& Crnic, 1996). The juxtaposition of child and family interest in thedevelopment of self-control does notmean that all goes smoothly, however.At the same time that they are becomingmore self-managing, young children arealso seeking greater autonomy, whichmeans that they are increasingly likely torefuse parents before they comply, and tonegotiate, compromise, delay, ignore andexhibit other forms of self-assertion —consistent with parents’ portrayal of the“Terrible Twos” (Kuczynski & Kochanska,1990; Kuczynski, Kochanska, Radke-Yarrow, & Girius-Brown, 1987). All ofthis makes the second and third years oflife especially significant for the growthof self-control and of consciencedevelopment. When all goes well, parentscan sensitively balance a child’s need for autonomy and cooperation in apsychologically constructively manner,but too often young children’s refusalsyield parental coercion and punitiveness.

The growth of emotion regulation is an especially salient feature of the growthof self-control in the preschool yearsbecause of its importance to socialcompetence, self-confidence andmaintaining feelings of well-being.Although managing emotions is a life-long challenge, young children develop a variety of strategies for doing so, suchas by seeking the comfort of a caregiver,shifting attention away from distressingevents (or toward pleasurable ones),self-soothing, changing goals, verbalizedself-reassurance and related behavior(Thompson, 1990, 1994). A youngchild’s capacities for emotion regulationrely on the support of caregivers whoprovide soothing when it is needed,suggest alternative goals when initialgoals are frustrated, and providereassurance that things will get better.Parents and other caregivers also coachchildren in strategies for managing theiremotions appropriate to the situation,whether it involves comforting adistressed friend, learning to take turnsor expressing anger with words ratherthan by hitting. More broadly, thesecurity and trust that has developedbetween young children and theircaregivers provides children with theconfidence that their feelings aremanageable and not overwhelming,frightening or confusing. However,when family life is troubled, children mayexperience emotions as overwhelmingbecause of the emotional demands offamily dysfunction, together with thelimited support that parents can providein managing these feelings.

17

E A R LY C H I L DHO OD i s w he n young chi ldre n

beg in to m anage the ir impuls es , desires

and e motions .

A YOU NG C H I L D’ S capac it ies for emotion

reg ulation rely on the suppor t of careg ivers

G ET T I NG A LONG W I T H OT H E R S :E A R LY C ON S C I E NC E

Learning how to get along with othersintegrates and builds on thedevelopmental accomplishmentsdescribed above. This is why it is such a challenging task for young children.Learning how to get along with othersrequires sophisticated skills of socialunderstanding. It requires the self-awareness of appreciating how one’sgoals interact with those of others.It requires skills of emotionalunderstanding and emotion regulation,together with capacities for self-management in accord with behavioralstandards. Conscience requires thatyoung children become capable ofunderstanding, as well as complyingwith, others’ expectations for them.It is little wonder, therefore, thatyoung children’s capacities forcooperation, conflict management,and moral compliance are so easilyexceeded by the challenges ofeveryday life.

Yet young children make remarkablestrides in conscience development,especially late in the preschool years.Contrary to the traditional view thatyoung children are self-concerned andrespond best to the enforcement ofbehavioral standards through firmdiscipline, children are highly motivatedto cooperate because of theirrelationships with caregivers (Kochanska& Thompson, 1997). Their emotionalattachments to people who matter causeyoung children to care about theexpectations of others and, on mostoccasions, seek to comply. Within thecontext of a warm relationship, the

behavioral standards of trusted adults,their explanations for these expectations,and their rewards for complianceprovide a foundation for consciencedevelopment (Belsky et al., 1996; Dunn,Brown, & Maguire, 1995). The youngchild’s capacity to empathize with thefeelings of others provides anotheremotional resource for consciencedevelopment (Zahn-Waxler & Radke-Yarrow, 1990). By contrast, whenpunitive coercion substitutes forrelational incentives, young children are often compliant but do not as readilyattain the concern for the others that is the true heart of moral awareness.

PE E R R E L AT ION SH I P S

Relationships with peers provide themost stringent tests of a young child’sability to get along with others. Conflictas well as cooperation occurs duringpeer encounters, peaking between theages of 2 and 3 because young childrenlack the social understanding necessaryto easily resolve disagreements at theseages (Hay & Ross, 1982). As childrenmature, they become more adept atplaying with peers in more complexways, in larger groups and in resolvingconflict (Garvey, 1990). Experiencehelps. Children play more cooperativelywith familiar than unfamiliar peers, andchildren with extensive experience inchild care tend to be more cooperativeand positive with peers than those



C H I L DR E N A R E highly motivated to cooperate

becaus e of the ir relat ionships w ith careg ivers

without such experience, when the childcare is of good quality (Howes, 1990;Phillips, McCartney, & Scarr, 1987).

Caregivers are important to thedevelopment of peer social skills.Parents who actively encourage socialcompetence, provide warmth andsupport to their offspring and providemany opportunities for young childrento play with others have children who get along better with other children(Goodnow, Knight, & Cashmore, 1985;Rubin, Mills, & Rose-Krasnor, 1989).Likewise, when young children aresecurely attached to their child careproviders in stable relationships,children are more socially competentwith adults and with peers (Howes,Matheson, & Hamilton, 1994; Howes,Phillips, & Whitebook, 1992; Peisner-Feinberg, Burchinal, Clifford, Culkin,Howes, Kagan, Yazajian, Byler, Rustici,& Zelazo, 2000). Child care quality is important: secure relationships withcare providers have significant benefitsfor early social development in centers of good quality.

Thus children arrive at school with socialskills, derived from a history of peerinteractions, child care experience andthe contributions of parents that stronglyinfluence their capacities to function well in a classroom with other children.Indeed, the quality of children’s peerrelationships in preschool is a significantdeterminant of their adjustment to

kindergarten, because the positive ornegative social skills that children haveacquired in early childhood shape therelationships they develop with adultsand peers in the kindergarten classroom(Ladd & Price, 1987).

R E L AT ION SH I P S A N D E A R LY L E A R N I NG

In this overview of early social andemotional development, the intersectionof a young child’s readiness to grow andan adult’s nurturant support is apparentin every aspect of social and emotionaldevelopment. It is also clear with respectto early learning.Young children arehuman sponges for new knowledge,and adults do so much to saturate themwith opportunities for learning andunderstanding. Here again, relationshipsare central.

In everyday circumstances, sensitiveadults at home and in child care do somuch to stimulate early learning. Theystructure shared activity — whetherworking on a jigsaw puzzle, reading a storybook, or preparing a recipetogether — to enable a young child to develop new skills with supportiveassistance. They arrange the dailyschedule to provide predictable routinesthat provide a scaffold for memory. Theyconverse with young children — almostfrom the time that children can makeany meaningful verbal contribution to

19

T H E QUA L I T Y OF childre n’s peer

relat ionships in pres chool i s a s ig nif icant

deter minant of the ir adjustme nt to

kindergar te n

YOU NG C H I L DR E N A R E hum an sponges for

ne w knowledge , and adult s do s o much to

s at urate the m w ith oppor tunit ies for lear ning

and understanding. Here again , relat ionships

are ce ntral .

“conversation” — in ways that help themto understand the events they observeand experience. In doing so, theyprovide a window into the invisiblepsychological experience of people,including the child’s own thoughts,feelings, impulses, motives and goals.

Most important, by remaining attentiveand responsive to the child’s changinginterests, sensitive adults capitalize onwhat has captivated a young child’sattention at the moment and use it as anopportunity to instill new understanding.All of this is influential because of thewarm, positive relationship that makesthese learning incentives salient andmeaningful to young children. It isbecause of their relationships with adults who value learning that childrenalso value learning and becomingcompetent individuals. In a sense, this is why shared activity with a trustedcaregiver is so much more influential in early intellectual growth than is aninstructional video, computer programor educational toy. People provideindividually tailored interaction fromwhich young children can benefit,and the child’s relationship with theperson instills their shared activity with greater meaning.

This has been found to be true of achild’s experience at home, and also of young children’s experiences withcaregivers in child care centers. High-quality care in early childhood isassociated with enhanced intellectualgrowth that can persist into the schoolyears (NICHD Early Child CareResearch Network, 2000; Piesner-Feinberg et al., 2000). As with mothercare, child care providers who are more sensitively responsive and whooffer greater verbal and intellectualstimulation enhance the cognitivedevelopment of the children in theircare (Lamb, 1998). In a sense, the same qualities of caregiving that instilltrust, confidence and competence in young children at home have the same outcomes in the relationships that children share with their child care providers.



I T I S B E C AU SE OF T H E I R R E L AT ION SH I P S

w ith adult s w ho value lear ning that

childre n als o value lear ning and becoming

compete nt indiv idu als

S O C I A L A N D E MOT IONA LF OU N DAT ION S OF S C HO OLR E A DI N E S S

At least two conclusions arise from theresearch on early social and emotionaldevelopment summarized above. First,the preschool years are a period ofconsiderable growth in the psychologicalfoundations of school readiness. Besidesthe core cognitive capabilities thatdevelop in early childhood, advances in the child’s understanding of otherpeople, self-understanding, emotionalgrowth, self-control, conscience and peer relationships provide an essentialbedrock of skills necessary for learningin the classroom. Young children withpositive early experiences are well-prepared to be attentive, cooperative,motivated to succeed and capable ofworking with others.

Second, supportive relationships are the common core ingredient of positiveearly social and emotional development.More specifically, the science of earlychildhood development shows that:

• The quality of relationships withparents are significant and primary.Owing to the deep emotionalattachments of young children, thesecurity (or insecurity) of theserelationships influence how children see themselves and other people.Parents guide the earliest forms of self-understanding and self-concept thatmake children confident in exploringand learning by how they respond to the child’s achievements andmisbehavior. Parents influence thedevelopment of capacities for self-management, emotion regulation

and cooperating with others throughinstruction, support and example.Parents shape the growth of social skillsthrough opportunities for the child tointeract with other people (includingpeers) and gentle coaching in socialcompetence. Parents provide learningopportunities through everydayexperiences that they sensitively exploitto promote new understanding.Warm, nurturant, sensitive parenting is a cornerstone of healthy social andemotional development because of howparent-child relationships tutor a youngchild about the world they inhabit.

• The quality of child care, and thecaregiver-child relationship, aresignificant influences on social andemotional development. Althoughstudied less extensively than experiencesat home, it is clear that experience inchild care has far-reaching consequencesfor early development.As parents do athome, child care providers also influencethe growth of self-concept, social skillsand capacities for emotion regulation,and child care may be an especiallyimportant context for learning how toget along with peers as well as adults.The quality of the relationships betweencaregivers and children are crucial to the benefits of child care, just as they arecrucial to the impact of experiences athome. Moreover, the broader quality ofthe child care setting is also an importantinfluence on social and emotionaldevelopment because of how child carequality indexes the opportunitiesprovided for new learning, support forconstructive peer play and manageable,predictable routines and emotionaldemands on children.

21

• Young children have a strong intrinsicdrive toward healthy development,but it can be undermined by troubledrelationships with the people whomatter to them. These risks have been noted in the preceding review,and include punitive, denigratingparenting; family environmentscharacterized by marital conflict,violence, and/or adult affectivedisorders; child care settings of poorquality or relational instability (thehigh turnover of caregivers in childcare often results in insecure attachmentrelationships with children, see Howes,1999); home or child care environmentswith overwhelming, unpredictableemotional demands for children;and the many stresses associated withpoverty. Unfortunately, for the youngchildren most at risk of social andemotional dysfunction, their lifeexperience is characterized by morethan one of these threats.

These conclusions reflect the findings of research on early social and emotionaldevelopment. But when we turn toresearch that specifically examines thefoundations of school readiness, itsconclusions are very consistent:

First, the quality of the mother-childrelationship in early childhood is an important influence on how wellchildren will function in kindergarten(Estrada, Arsenio, Hess, & Holloway,1987; Peisner-Feinberg et al., 2000;Pianta, Nimetz, & Bennett, 1997). Whenyoung children enjoy warm, supportiverelationships with their mothers, theysubsequently exhibit greater academiccompetence in kindergarten and earlyprimary grades, and they are more

competent in the classroom — that is,they are more socially skilled, show fewerproblems with conduct or frustrationand have better work habits. In animportant longitudinal study, Estradaand colleagues (1987) found that ameasure of the emotional quality of themother-child relationship at age 4 wasassociated with the child’s cognitivecompetence at that age, and waspredictive of school readiness measuresat ages 5 and 6, IQ at age 6, and schoolachievement at age 12. These findings areconsistent with a large body of researchshowing how the parent-childrelationship influences intellectualgrowth (Bradley, Caldwell, & Rock,1993; Gottfried & Gottfried, 1984),and emphasizes the relevance of thisrelationship to school readiness. Thereare many reasons why a positive mother-child relationship would enhancechildren’s school readiness, based on the research reviewed above. A positive,secure relationship provides immediatesupport for the child’s social andcognitive competence, as well as inspiringself-confidence, capacities for self-management and interest in learning.

Second, the quality of child careinfluences how well children willfunction in school (Lamb, 1998;NICHD Early Child Care ResearchNetwork, 2000; National ResearchCouncil, 2001; Peisner-Feinberg et al.,2000). In another longitudinal study,Peisner-Feinberg and colleagues (2000)found that the quality of child careclassroom practices predicted languageand math skills through second grade.Classroom practices also predicted thequality of children’s peer relationships



and behavior problems several years later. In this study,“classroom practices”included assessments of whetherprocedures were developmentallyappropriate for young children, the useof a child-centered teaching method,and the teacher’s sensitivity andresponsiveness to the children. Thus the overall classroom environmentinfluenced cognitive and socialcompetence in school up to secondgrade. These conclusions have beenconfirmed by other studies of earlychildhood education (National Research Council, 2001).

Moreover, the relationship betweenchild care providers and youngchildren also influences children’sschool functioning (Lamb, 1998;Peisner-Feinberg et al., 2000; Pianta etal., 1997). Just as at home, the warmthand sensitivity of the child care providerenhances children’s social competence(and reduces proneness to behaviorproblems) in kindergarten and the earlyprimary grades. But research has shownthat the closeness of their relationshipalso predicts children’s subsequentclassroom thinking, attention skills and concept development. In short,cognitive and social competence isenhanced when children are in childcare settings with secure, positiverelationships with caregivers.

In the context of warm, securerelationships with their caregivers,children’s intellectual growth is alsoenhanced. In the conversations theyshare, the structure that adults provide,and the sensitivity to children’sdevelopmental readiness to learn, theserelationships provide an avenue for newlearning of all kinds, as well as children’s

curiosity and motivation to learn. Thusit is perhaps unsurprising that in caresettings with caregivers who are bettereducated and trained, young childrenbecome more intellectually and sociallycompetent (Lamb, 1998; NationalResearch Council, 2001).

Third, the quality of child care may beespecially influential for children whoare otherwise at risk of academic orsocial problems in school (Caughey,DiPietro, & Strobino, 1994; NationalResearch Council, 2001; Peisner-Feinberget al., 2000). Children from socio-economically disadvantaged settingsbenefit more significantly from high-quality child care than do children frommiddle-income families. This may derivefrom how a supportive relationship with a child care provider and developmentallyappropriate classroom practices canbuffer some of the stresses associated with economically challenging livingconditions. The quality of care isimportant. Poor quality care does notdifferentially benefit at-risk children —nor, for that matter, any children.

Fourth, the relationship between thechild and a teacher in kindergarten is an important contributor to schooladaptation (Birch & Ladd, 1997; Pianta& Steinberg, 1992). Consistent with theimportance of relationships throughoutearly childhood, children who enjoywarm, positive relationships with theirkindergarten teachers are more excitedabout learning, more positive about

23

T H E QUA L I T Y OF childre n’s peer relat ionships

in kindergar te n are als o ass oc i ated w ith

s chool adjustme nt

coming to school, more self-confidentand achieve more in the classroom thando children who experience moretroubled or conflictual relationships with their teachers. Thus the importanceof relationships to socioemotional andcognitive functioning, established fromearly childhood, extends also to theearly primary school years. Moreover,other relationships are also important.For example, the quality of children’speer relationships in kindergarten arealso associated with school adjustment:children who experience greater peeracceptance and friendship tend to feelmore positively about coming to schooland perform better in the classroom(Ladd, Kochenderfer, & Coleman,1996, 1997).

FACILITATING SCHO OLREADINESS IN YOUNG CHILDREN

In the broadest sense, these researchconclusions have both positive andnegative implications for understandingthe conditions that influence schoolreadiness.

On one hand, they highlight thecircumstances that undermine a youngchild’s social and emotional readiness for new learning. School readiness ishindered when children live in familiesrent by domestic conflict or violence,parental mental health or substance abuseproblems, or other conditions that makethe home environment stressful anddifficult for young children. Schoolreadiness is undermined when youngchildren are in child care settings that arestressful or unstimulating, with teacherswho are unknowledgeable or uninterestedin the importance of fostering growing

minds and personalities, or with staffturnover so high that it is difficult forchildren to develop reliable relationshipswith their caregivers. School readiness ishindered when young children and theirfamilies live in communities that aredrained of human resources, wherechildren may be exposed to neurotoxins(such as in lead-based paint) that hinderbrain development, and where parentscan find few health-care, recreational or other resources for enhancing thepositive development of offspring. Schoolreadiness is particularly undermined incircumstances where many of these riskfactors to healthy early psychologcialdevelopment co-occur, such as in poverty.

More positively, this research alsohighlights the opportunities that exist to facilitate school readiness in youngchildren, including:

• Strengthening family experiences,especially opportunities to developmore secure and nurturant parent-childrelationships.Young children thrivewhen provided with unhurried, focusedtime with the adults who matter tothem, and when those adults can besensitively responsive to them. The core foundations of school readiness are created in these experiences.

• Improving child care quality,especially by (a) strengthening thetraining and responsiveness of child careproviders through their awareness oftheir crucial role in early social andemotional growth, (b) reducing theturnover of child care providers throughincreased professionalism andcompensation, (c) making classroompractices more developmentally



appropriate and child-centered (althoughnot necessarily more curricular), and (d) fostering a language-rich environmentthat facilitates intellectual growth andsocial interaction.

• Focusing on the transition tokindergarten as an importantopportunity to instill and maintainenthusiasm for learning through the development of supportiverelationships with teachers, andpositive peer relationships.

• Attending especially to the needs ofvulnerable children who come fromat-risk backgrounds, and are especiallylikely to encounter multiple threats toschool readiness in their families, childcare environments and communities.

These present significant avenues toenhancing early school readiness.

C ONC LU SION

School readiness is not just an attributeof individual children, but derives froman interaction of the child with theschool. Beginning school presents somany challenges to young children,from learning directed by a teacher and the challenges of social comparisonto mastering a new peer group andclassroom expectations. Educators,developmental scientists and parentshave long recognized that some primaryclassrooms are more “school ready”than others. This is because someclassrooms and teachers are better ableto accommodate the developmental needs and individual characteristics of children who arrive at school withwidely varying capabilities, expectationsand self-concepts.

There are several implications ofrecognizing that school readiness is notan individual attribute, but an interactiveconcept. First, it may be difficult to assessa particular child’s “school readiness”except when that child is immersed in the challenges of the primary gradeclassroom. Prior assessments of schoolreadiness outside of the context of schoolmay be poorly predictive of how childrenwill fare when they reach the classroomdoor because their coping will besignificantly affected by the school itself.Second, kindergarten and primary gradeteachers should become more aware ofthe developmental needs that youngchildren retain from the preschool yearsand which underlie their initial success in school. By regarding early classroomexperience in developmental (rather than academic) frameworks, educatorscan foster the personal qualities thatcontribute best to young children’s long-term academic success.

25

Third, and perhaps most importantly,understanding school readiness as aninteraction of the child with the schoolunderscores the importance ofrelationships to learning. Because young children’s scholastic and social lives are linked in the early primary grades,it matters a great deal how children feelabout themselves and the teachers andpeers with whom they share the schoolday. Moreover, relationships that childrenexperience in the preschool years are alsoimportant, sometimes because of theircontinuing influence on children afterthey begin school, and sometimes becauseof the social and emotional resources theyhave provided in early childhood. In eachcase, the curiosity, self-confidence,excitement about learning, capacities forcooperation and skills in self-managementinstilled in early childhood provide youngchildren with some of their best resourcesfor school success.

R E F E R E NC E S

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CURRENTLY MUCH NATIONAL ATTENTION

is focused on the need to betterunderstand the prerequisites of earlyliteracy development to improve thereading achievement of our students,particularly our struggling readers.Most educators agree that reading ability“serves as the major avenue tolearning about other people, abouthistory and social studies, thelanguage arts, science, mathematics,and the other content subjects thatmust be mastered in school. Whenchildren do not learn to read, theirgeneral knowledge, their spelling andwriting abilities, and their vocabularydevelopment suffer in kind. Withinthis context, reading skill serves as the major foundational skill for allschool-based learning, and without it,the chances for academic andoccupational success are limitedindeed” (Lyon, 1999).

At a recent White House Conference onEarly Reading, increased federal researchfunding focused on early literacy, andincreasing the funding level for earlyliteracy in the new federal Elementaryand Secondary Education Act from $300

million in 2001 to nearly $1 billion in2002. This underscored the heightenedawareness that functional literacy isessential for participation in theAmerican dream.

As literacy is becoming more and morenecessary for basic survival, illiteracy ratesare on the rise in the United States (Chard,Simmons & Kameenui, 1995; Snow,Burns, & Griffin, 1998).An estimated onein three children experiences significantdifficulty in reading. Reading problemsusually begin in the very early stages ofreading acquisition and once they begin,they are rarely overcome (Juel, 1988, 1991;Snow et al., 1998). These problems oftennegatively impact children’s achievementin school and ability to fully participate in literacy activities as adults (Daneman,1991; Juel, 1991; Stanovich, 1991,1993/1994). Therefore, it is critical that


T h e C o n n e c t i o n s B e t w e e n S o c i a l - E m o t i o n a l D e v e l o p m e n t a n d E a r l y L i t e r a c y

I T I S C R I T IC A L T H AT C H I L DR E N who

ex per ie nce dif f ic ult y lear ning to read or

w ho m ay be at r isk for rea ding proble ms

rece ive the suppor t needed as s oon as

possible.


T H E C O N N E C T I O N S B E T W E E N

S O C I A L - E M O T I O N A L D E V E L O P M E N T

A N D E A R L Y L I T E R A C Y

L I N D A M . E S P I N O S A , P H . D .



Linda Espinosa, Ph.D.

Associate Professor

of Education

University of

Missouri-Columbia

311 D., Townsend Hall

Columbia, MO 65211

phone: 573-882-2659

[email protected]


31

T H E S O C IOE MOT IONA L C ON T E X T of early

literac y ex per ie nces relates direc t ly to

chi ldre n’s motivation to lear n to read later on .

children who experience difficultylearning to read or who may be at risk for reading problems receive the supportneeded as soon as possible (Snow et al.,1998). Early assistance is particularlyimportant for children who will eventuallybe identified as having a learning disability.

Three major reports from the NationalAcademy of Sciences, National ResearchCouncil: Eager to Learn: Educating ourPreschoolers; From Neurons toNeighborhoods; and Preventing ReadingDifficulties in Young Children havesynthesized and integrated the latestscientific knowledge about how youngchildren learn best. Taken together thesereports provide a compelling picture ofthe relationships between earlyexperiences and future learning andachievement. One common theme is theimportance of nurturing relationshipsand responsive social environments tocognitive and academic development.

“The socioemotional context of earlyliteracy experiences relates directly tochildren’s motivation to learn to readlater on” (Snow, Burns, & Griffin, 1998,p. 138).

“Children grow and thrive in thecontext of dependable relationshipsthat provide love and nurturance,security and responsive interaction,and encouragement for exploration”(Shonkoff & Phillips, 2000, p.7).

“Neither loving children nor teachingthem is, in and of itself, sufficient foroptimal development; thinking andfeeling work in tandem” (Bowman,Donovan, & Burns, 2001, p.2).

It is widely acknowledged that literacydevelopment is closely related to earlierlanguage development (Dickinson &Tabors, 2001). However, what is lesswidely discussed in relation to literacy arethe early ties between social-emotionaldevelopment in infancy and thedevelopment of language and symbolicplay during the second year of life. Thereis strong evidence that social-emotionaldevelopment in the first year of life is thefoundation of language development and that social-emotional well-beingcontinues to affect both language andliteracy as the child matures.

The purpose of this paper is to discussthe connection between early literacyand social-emotional development. Firstwe will discuss early social-emotionaldevelopment and its relationship tolanguage development. Next we discussthe relationship between language andliteracy. Third, the connections betweenplay, language and literacy are presented.We then discuss the early care andeducation contexts that foster earlylanguage and literacy and conclude with implications for practice.

S O C I A L - E MOT IONA LDE V E LOP M E N T

The development of early language andeventually literacy occurs in the contextof close relationships with others. Theseearliest relationships with parents and other primary caregivers provide the foundation for developing thecharacteristics of trust, autonomy andinitiative. Erik Erikson first identifiedthese psycho-social stages of thepreschool years and illustrated howessential healthy ego and emotionalsecurity are to all forms of learning.Children who have secure and trustingrelationships with their primary caregiversdisplay more exploratory behavior, havemore positive relationships with theirpeers and adjust successfully to theformal demands of schooling (Howes & Smith, 1995; Birch & Ladd, 1997).The National Education Goals Panelconcluded,“A solid base of emotionalsecurity and social competence enableschildren to participate fully in learningexperiences and form good relationshipswith teachers and peers” (1999). Theroots of positive psycho-socialdevelopment are developed and can be identified in the first year of life asinfants interact with their caregivers.

Most infants are born with the innateability and drive to interact andrespond socially with parents andcaregivers. Studies have demonstratedthat experience drives a substantialamount of brain development duringthe first years of life. These earlyinteractions shape the brain in ways that make social development a priority(Mundy & Stella, 2000). Toward the end of the first year of life this socialrelatedness is demonstrated throughchild-initiated joint attention. Jointattention is one of the early pragmaticfunctions and thought to be an importantpredictor of language development(Wetherby, Prizant, & Schuler, 2000).Joint attention is used to direct another’sattention for the purpose of sharing an experience. When engaging in jointattention, the infant wants the adult to notice what she is noticing andacknowledge the experience. (Forexample, Jessie hears a loud noiseoutside the window, she looks at herfather to see if he heard it, then looks in the direction of the noise. Shecontinues to coordinate her gazebetween the sound and her father,maybe adding vocalizations or gestures,until he responds.)

Joint attention in the prelinguistic period of development has been foundto predict later language for childrenwith Down syndrome (Mundy, Kasari,Sigman & Ruskin, 1995), children withdevelopmental delay (McCathren, Yoder,& Warren, 1999) and children withautism (Mundy, Sigman, & Kasari,1990). Children’s abilities to initiate jointattention is thought to be a demonstration



A S OL I D BASE OF E MOT IONA L s ec ur it y and

s o c i al compete nce e n ables chi ldre n to

p ar t ic ipate f ul ly in lear ning ex per ie nces

and for m good relationships w ith teachers

and peers .

of early positive social-emotionaldevelopment (Mundy & Willoughby,1998) and may demonstrate the child’sability to orient to the social worldaround them (Dawson, Meltzoff,Osterling, Rinaldi, & Brown, 1998).

There are a number of reasons whyamount of joint attention may berelated to later expressive vocabulary.High rates of joint attention maydemonstrate early social competence(Mundy & Willoughby, 1998). Theseyoung children may know how toinvolve others in their communicationand have the capacity and willingnessto initiate and participate in socialrelationships. Mundy and Willoughbyview joint attention as demonstratingthe child’s ability to initiate positivefeelings with another about somethingof interest in the environment. Thus,the use of joint attention may representa child’s desire to communicate and as such may set the social-emotionalfoundation for communicating with language.

The social-pragmatic theory oflanguage acquisition proposes thatlanguage develops as infants try tomake meaning of the social world inwhich they live (Carpenter & Tomasello,2000). According to Nelson (1985),children learn to talk in order to makemeaning of their experiences withothers. In addition, early languagedevelops and becomes more sophisticatedas infants and young children attemptto communicate their understandings of the world (Bloom, 1993).

33

C H I L DR E N’ S A B I L I T I E S TO I N I T I AT E joint

at te ntion is thought to be a de monstration

of early posit ive s oc i al / e motional

de velopme nt and m ay de monstrate the

child’s abilit y to or ie nt to the s oc i al world

around the m .

T H U S , T H E U SE OF JOI N T AT T E N T ION m ay

repres e nt a chi ld’s desire to communicate

and as such m ay s et the s oc i al - e motional

found ation for communicating

w ith lang u age.

The importance of the ability to initiatejoint attention as a key component ofsocial relatedness is highlighted whenlooking at children with autism. One ofthe defining characteristics of childrenwith autism is the lack of joint attention(Mundy & Stella, 2000; Wetherby,Prizant, & Schuler, 2000). This lack ofjoint attention is thought to be a coredeficit with wide-ranging implicationsfor the ability to relate socially and tointerpret the social behavior of othersthroughout the life span. Often peoplewith autism never learn to speak.However, even when language is present,it is often idiosyncratic and is not usedto share experience (Wetherby et al.,2000). For children with autism whobecome verbal and even literate, therecontinues to be great difficulty readingsocial cues and emotions, understandingnon-literal language and interpretingthe intentions and actions of another.Thus, early social-emotional developmentaffects both the desire and the ability to communicate, use language andeventually develop literacy skills.

Additional research also concluded thatsensitive, responsive care is critical to the development of social-emotionalcompetence (Thompson, this volume).Taken together, these two lines ofresearch strongly suggest that early careproviders need to be skilled in theirability to recognize infants’ attempts to initiate joint attention and respondappropriately. In other words, babies andyoung children need adults who care forthem to be “in tune” with their moods,desires and need to communicate.

L A NG UAG E - L I T E R AC YC ON N E C T ION S

Because reading is a language-basedskill (Kamhi & Catts, 1999), childrenexperiencing difficulties in readingoften also experience difficulty in threeareas of language development:receptive and expressive vocabulary,narrative skills and phonologicalprocessing. The development of a largevocabulary is thought to contribute to learning to read because it helpschildren attach meaning to the printedwords (Adams, 1990). Research hasshown that children’s reading ability inthe primary grades has been positivelycorrelated with early vocabularydevelopment (Eisenson, 1990; Hart &Risley, 1995; Walker, Greenwood, Hart,& Carta, 1994). However, manychildren, particularly children living in poverty, arrive at school with poorlydeveloped vocabularies (Hart & Risley,1995; Rush, 1999), making it moredifficult to learn to read.



T H E DEV E LOP M E N T OF A L A RG E vocabularyis thought to contribute to learning to readbecause it helps children attach meaning tothe printed words. Research has shown thatchildren’s reading ability in the primarygrades has been positively correlated withearly vocabulary development.

In addition to strong receptive andexpressive vocabularies, the developmentof narrative skills positively contributesto learning to read (Snow et al., 1998).Families expose their children tonarratives in a variety of ways. Manylow-income families have a rich historyof storytelling and use elaboratenarratives as part of their daily lives(Heath, 1983; Vernon-Feagans,Hammer, Miccio, & Manlove, 2001).Children’s understanding of narrativesalso is developed during mealtimes when family members talk about theday’s events (Snow & Tabors, 1993).These day-to-day encounters withnarratives help children understand thestructure of stories making them easierto understand. However, the developmentof good narrative skills can be difficultfor children with delays or disabilities inlanguage development.

A third area of oral language that strongly impacts reading is phonologicalprocessing. Phonological processing isthe use of the sound system of languageto process written and oral information(Jorm & Share, 1983; Rush, 1999;Wagner & Torgesen, 1987). Phonologicalprocessing skills are highly correlatedwith later reading ability and are thoughtto contribute to most reading difficulties(Torgesen, Wagner, & Rashotte, 1994).

One phonological processing skill,phonemic awareness, is demonstrated in young children by rhyming andidentifying initial sounds in spokenwords. Through research, educators havelearned that phonemic awareness is astrong predictor of future reading ability,it can be taught, and that learning suchskills positively impacts children’s futurereading ability (Gelzheiser & Clark,1991; Shankweiler, Crain, Brady, &Macaruso, 1992; Torgesen et al. 1994).

It is clear that children do begin “literacylearning with language and thatenhancing their language developmentby providing them with rich andengaging language environments duringthe first five years of life is the best way toensure their success as readers” (Tabors,Snow, & Dickinson, 2001, p. 334 ).It also is evident that early languagedevelopment grows out of a close,emotionally supportive relationship in which children want to convey theirthoughts, ideas, observations andfeelings to important others.

35

I N A D DI T ION TO ST RONG R E C E P T I V E andexpressive vocabularies, the development ofnarrative skills positively contributes tolearning to read.

I T A L S O I S EV I DE N T T H AT E A R LY lang u age

development grows out of a close, emotionally

suppor t ive relationship in w hich childre n

want to conve y the ir thought s , ideas ,

obs er vations and feelings to impor tant others .

P L AY, L A NG UAG E A N D L I T E R AC Y

One way to increase the development oforal language is through using play as thecontext for language learning.Althoughmost preschoolers engage in elaboratepretend play, this skill has its beginningsmuch earlier in development. By the end of the first year of life mentalrepresentation is demonstrated throughsymbolic play (McCune, 1995). Insymbolic play, an object or person standsfor another object or person (e.g., doll for a baby, child for the daddy). From acognitive perspective there are three typesof play that develop in young children(Piaget, 1962). The first, exploratory play,is the banging, shaking, mouthing, orsimple manipulation of objects. The nexttype, combinatorial play, is demonstratedby the infant relating objects to each other(e.g., building a tower, putting a person ina car, or pounding pegs with a hammer).The final, most sophisticated type of playis symbolic or representational play.

There is an established empirical base(Casby & Ruder, 1983; McCune, 1995;Mundy, Sigman, Kasari, & Yirmiya,1988) for linking symbolic play skillswith language development. Both rateand level of symbolic play have beenfound to be significantly correlated withlanguage development for children withDown syndrome and for typicallydeveloping children (Casby and Ruder,1983). For typically developing children,

a relationship between play and the onset of first words has been established.McCune (1995) found significantconcurrent correlations between theonset of pretend play and first words.

The development of play skills also isimportant because play with objects isoften the context for early prelinguisticand verbal communication. Object play is a common context for communicationinterventions with young children (Yoder,Warren, & Hull, 1995). Children who donot demonstrate an interest or skill in playwith objects may be harder to engage inthe types of interactions that are facilitativeof communication development. Playsettings that provide choice, control andappropriate levels of challenge appear to facilitate the development of self-regulated, intentional learning (Badrova& Leong, 1998).

It is no surprise that play also has a role inchildren’s development of motivations towant to learn to read, especially when oneconsiders how play encourages youngchildren to reflect on situations throughdramatizations of their own invention(Galda, 1984; Smilansky, 1968; Wolf andHeather, 1992).Adults intervene inchildren’s play by providing field trips as a source of knowledge, as well as relevantprops (e.g., grocery store or library props)to stimulate fantasy, and by becominginvolved in the play themselves (e.g.,suggesting new activities, vocabulary andrules) (Neuman, and Roskos 1992).



ON E WAY TO I NC R E ASE the de velopme nt of

oral lang u age is through using play as the

contex t for lang u age lear ning.

T H E DEV E LOP M E N T OF P L AY skil l s als o i s

impor tant becaus e play w ith ob jec t s i s of te n

the contex t for early preling uist ic and verbal

communication .

If play sessions are going to provide amedium for incorporation of aspects of literacy, those sessions need to be atleast 20 to 30 minutes in order to allowchildren enough time to create theelaborate scripts that lead to theintentional use of literacy in dramaticplay (Christie, Johnsen & Peckover,1988). Consider an example of youngchildren establishing and enacting“doctor’s office” play. First they needample time to establish everyone’s roles.Perhaps they had recently read a bookabout Sam who has an earache —someone needs to be Sam, anotherperson his Dad who takes him to thedoctor, another child the doctor, etc.During this planning time and thedramatic play sequence, the childrendecide what items are needed for the playand establish objects to represent thoseitems, for example a paper tube from apaper towel roll might be used to lookthrough to see Sam’s earache. A blockand a stick might be used as a pretendnote pad and pen, etc. Then the all-important playing out of the story withall its detail. All this takes time and, ifneeded, helpful guidance and supportfrom a teacher.

Children need book readings and relatedexperiences to develop their backgroundknowledge for the play setting. To supportchildren’s writing during play, they needready access to appropriate materials,such as paper, markers, pencils andstamp pads (Morrow & Rand, 1991;Neuman & Roskos, 1992; Schrader, 1985;Vukelich, 1994). Even so, the teacher’sparticipation and guidance are pivotal in helping children incorporate literacymaterials into their play (Badrova and

Leong, 1998). For example, one studycompared children who played in aprint-rich center with or withoutliteracy-related guidance from theirteacher (Vukelich, 1994). When latertested on their recognition of print that had been displayed in the playenvironment, those who had receivedteacher guidance were better able torecognize the words, and could do soeven when the words were presented in a list without the graphics and context of the play setting.

Play sessions also provide a rich contextfor the development of narratives, whichwas discussed earlier. Additionally,effective “play” enhances self-regulatorybehavior of young children (Badrova & Leong, 1998). Poor self-regulatorybehavior (e.g., activity level, attention,adaptability) is identified as a barrier tochildren’s receptiveness to instruction inthe early grades. Torgesen’s work cited inThe National Reading Panel (NICHD,2000) report provides an example ofsuch a barrier to phonics instruction.He found that kindergarten childrenwith poor self-regulatory behavior weremost resistant to instruction.

37

C H I L DR E N N E E D B O OK R E A DI NG S and

related ex per ie nces to de velop the ir

back g round knowledge for the play s et t ing.

T he teacher’s p ar t ic ipation and g uid ance

are pivotal in helping chi ldre n incor porate

literac y m ater i als into the ir play.

SU P P ORT I V E E A R LY L I T E R AC YC ON T E X TS

Children’s exposure to and interest inliteracy experiences are influenced by theadults who care for them. Caregivers’literacy attitudes, beliefs and ability levelsaffect the literacy opportunities theyprovide for children in their care and therichness of their literacy interactions withchildren (DeBaryshe, 1995; Baker,Serpell, & Sonnenschein, 1995; Spiegel,1994). The feelings children developduring early literacy experiences, such asshared book reading, directly influencetheir motivation to learn to readindependently. Enthusiasm about literacyactivities is suggested by many researchersas a route to development of the child’sactive engagement in literacy tasks (Snow& Tabors, 1996; Baker et al., 1995).

Activities such as family storybookreading promote positive feelings aboutbooks and literacy (Taylor & Strickland,1986). The relationship between parents’behavior and their children’s perceivedinterest in literacy works in a reciprocalmanner. Parents who believe theirchildren are interested in reading aremore likely to provide abundant print-related experiences than parents who do not perceive such interest. Parents’interpretations of children’s interest inprint, however, are partly a function oftheir expectations of young children’s

capabilities in general. For example, oneparent may judge a child to be interestedonly if the child asks to have a story read;another parent may judge a child to beinterested if he or she expresses pleasurewhen the parent offers to read a story.In the United States, young children areread to fairly often by their parents.Some 40 to 50% of all families reportreading to their kindergartners on a dailybasis, and this is the case across all ethnicand socioeconomic groups (EarlyChildhood Longitudinal Study, 1999).

Children who learn from their parentsthat literacy is a source of enjoymentmay be more motivated to persist intheir efforts to learn to read despitedifficulties they may encounter duringthe early school years. Parents of pre-reading children tend either to emphasizeliteracy as an activity engaged in forpurposes of entertainment or as a set ofskills to be acquired. Children of those



T H E F E E L I NG S C H I L DR E N DEV E LOP dur ing

early literac y ex per ie nces , such as shared

book reading, direc tly inf lue nce the ir

motivation to lear n to read independently.

AC T I V I T I E S SU C H AS FA M I LY stor ybook

reading promote posit ive feelings about book s

and literac y

parents who emphasized early literacy as a source of enjoyment tend to have agreater orientation toward print alongwith greater competence in aspects ofnarrative and phonological awarenessthan do children of parents whoapproach early literacy as a set of skills(Sonnenschein, Baker, Serpell, Scher,& Fernandez-Fein, 1996). Such anenjoyment orientation is more typical ofmiddle-income parents, whereas lower-income parents are more likely to viewliteracy as a set of skills to be acquired(Lancy & Bergin, 1992). Baker et al.(1995) note that “Parents’ descriptions oftheir children’s early efforts to engage inliteracy activities often reflectedamusement but also suggest awareness ofthe value of such behaviors” (p.265).

In addition to the family, child careprograms also provide early literacyexperiences that can support youngchildren’s interest in learning to read.Literacy activities often are not at theforefront of planned activities in childcare settings. Neuman (1996) studiedthe literacy environment in U.S. childcare programs. Traditional ‘caretaking’goals, such as keeping children safe, fedand clean, was often the main focus.Yetmany of the children being served werein special need of early languagestimulation and literacy learning.

Neuman introduced an intervention thatprovided caregivers with access to booksand training on techniques for (a) bookselection for children of different ages,(b) reading aloud, and (c) extending the impact of books. Assessments of thistraining indicated that literacy interactionincreased in the intervention classrooms;literacy interactions averaged five perhour before the intervention and increasedto 10 per hour after the intervention.

Before the training, classrooms had fewbook centers for children; after theintervention, 93 percent of the classroomshad such centers. Children with caregiverswho received the training performedsignificantly better on concepts of print(Clay, 1979), narrative competence(Purcell-Gates and Dahl, 1991), conceptsof writing (Purcell-Gates, 1996), andletter names (Clay, 1979) than did childrenin the comparison group.At follow-up inkindergarten, the children were examinedon concepts of print, receptive vocabulary(Dunn and Dunn, 1985), concepts ofwriting, letter names and two phonemicawareness measures based on children’srhyming and alliteration capacity(Maclean, Bryant & Bradley, 1987).Of these measures, children in theintervention group performed significantlybetter on letter names, phonemic awarenessand concepts of writing.

39

C H I L DR E N W HO L E A R N F ROM the ir pare nt s

that literac y is a s ource of e n joy me nt m ay

be more motivated to persist in the ir

e f for t s to lear n to read despite dif f ic ult ies

the y m ay e ncounter dur ing the early s chool

years .

I N A D DI T ION TO T H E FA M I LY, child care

prog rams als o prov ide early literac y

ex per ie nces that can suppor t young childre n’s

interest in lear ning to read .

In summary, we know that in order foryoung children to become fluent readers,they need opportunities to develop orallanguage skills and phonologicalawareness, the motivation to learn to read, as well as the specific skillsassociated with decoding andcomprehending print (Burns, Griffin,& Snow, 1999). Important elements of their learning environments includepositive, supportive, reciprocalrelationships in addition to specificliteracy-related activities and materials.

V U L N E R A B L E C H I L DR E N A N DE A R LY L I T E R AC Y

Young children living in distressedurban communities are at great risk for school failure, antisocial behaviorand disrupted development (Gorman-Smith, Tolan, & Henry, 1999). Manyrecent reports have documented theincreasing number of children growingup in seriously compromisedcircumstances that are associated withlow achievement, inattentiveness,psychiatric symptoms and behaviorproblems, grade retention and depressedcognitive development (Duncan &Brooks-Gunn, 1997; Erikson & Pianta,1989; Young, 1994). There is a body ofevidence suggesting that the quality andnature of the teacher-child relationshipsignificantly influences the child’sadjustment to kindergarten and eventualacademic performance (Birch & Ladd,1997; Bretherton, 1985; Pianta, 1994;Pianta & Steinberg, 1992).

Birch and Ladd (1997) studied theassociation between three dimensions of the teacher-child relationship(closeness, dependency and conflict)and kindergarten children’s adjustmentto school. They report “…the perceptionsthat teachers have of the quality of theirrelationships with their students areassociated with children’s performanceon academic tasks, children’s feelings ofloneliness and school avoidance desiresand teachers’ reports of various schooladjustment outcome indices” (pp.77-78). A close, non-dependent, non-conflictual relationship as perceived by the teacher was related to children’sacademic performance as well as theirattitudes toward school and engagementwith school.



T H E R E I S A B ODY OF EV I DE NC E suggestingthat the quality and nature of the teacher-child relationship significantly influences the child’s adjustment to kindergarten andeventual academic performance

T H E SE C H I L DR E N A R E p erce ived as h av ing

chronic behav ior problems w ith low academic

p ote nti al , w hich s et s up a s elf - f ulf i l ling

prophesy of reduced oppor tunit ies to lear n

and depress ed achie ve me nt .

A recent study in one Midwestern urbanschool district found that young childrenin urban low-income communities whodisplay challenging classroom behaviorsthat do not conform to teacherexpectations are at great risk for beingunderestimated in their academic potentialand never establishing a warm, positiverelationship with teachers (Espinosa &Laffey, submitted). These children areperceived as having chronic behaviorproblems with low academic potential,which sets up a self-fulfilling prophesy of reduced opportunities to learn anddepressed achievement. With frequentnegative and restrictive feedback from theteacher and other adults in the schoolsetting, they are also at-risk for developinga negative self-image as a learner. Howesand Smith (1995) found similar results ina study of children in child care. Thosechildren who were perceived by the teacherto be difficult received more controlling,restrictive commands from the caregiverand were allowed fewer opportunities toinitiate their own activities and exploittheir learning environment.

I M P L IC AT ION S F OR PR AC T IC E

It has been repeatedly shown that high-quality preschool programs can positivelyinfluence the intellectual, academic andsocial development of poor children bothimmediately and long-term (Barnett,2000).Virtually all experts in earlyeducation and related fields agree thatintensive, high-quality interventions foryoung children in poverty can havesubstantial impacts on their future schooland life success. This line of research has

also demonstrated that, in order to beeffective, early childhood programs mustprovide the elements of high quality.Unfortunately, this is not the case for themajority of American preschoolprograms.A recent national studyrevealed that only 25% of observed childcare settings met the criteria ofdevelopmentally appropriate care (Cost,Quality and Outcomes Study, 1999).

When designing early care andeducational programs for children from economically disadvantagedbackgrounds, (or any young childconsidered vulnerable, i.e., children who are English language learners,children with disabilities or children who lack emotional security and social competence)it is critical that the following elements be considered.

• Positive, supporting relationshipsare critical. It has been repeatedlydemonstrated that young, vulnerablechildren can thrive academically andsocially when they have the support of a caring adult. It is imperative thatall early care and education providersunderstand the critical importance of social and emotional developmentto all academic achievement.

41

I T H AS B E E N R E PE AT E DLY show n that high -

qu alit y pres chool prog rams can posit ively

inf lue nce the intel lec tual , acade mic and

s oc i al de velopme nt of poor childre n both

immedi ately and long - ter m .

• Strong emphasis on oral languagedevelopment. Teachers need tointeract and converse with childrenboth in small groups and individuallythroughout the day. They need tomodel standard English and provideopportunities for children to expresssymbolic concepts through speech.Extended vocabularies, sense of story,background knowledge and phonemicawareness are all fostered throughopportunities to play with peers, playwith language and play with materials.

• A curriculum that includes school-related skills and knowledge. Youngchildren need the opportunity to learn the alphabetic code, phonemicawareness, story narrative, an expandedvocabulary, number sense and otherbasic academic content.

• Small class sizes. Each child needs to have frequent individual interactionswith peers and caring adults andlearning experiences that are tailoredto his/her unique talents, interests and abilities.

• Teachers who engage in collaborativeplanning, assessment and reflection.In the best programs, teachers andother staff meet frequently to discussthe program and the development ofindividual children.

• All teachers are well qualified. To the extent possible, early childhoodteachers should have a college degreewith specialized preparation in earlychildhood education or a related field.

• Establish a collaborative andrespectful relationship with parentsand/or other family members. Whenparents and teachers work together the young vulnerable child has agreater chance to be developmentallysupported in the home and accuratelyunderstood in the classroom.



I T I S I M PE R AT I V E T H AT al l early care and

education prov iders understand the c r it ical

impor tance of s oc i al and e motional

de velopme nt to al l academic achie vement.

R E F E R E NC E S

Adams, M.J. (1990). Beginning to read: Thinking andlearning about print. Cambridge, MA: MIT Press.

Bloom, L. (1993). Developments in cognition. Thetransition from infancy to language: Acquiring the powerof expression. New York: Cambridge Press.

Chard, D.J., Simmons, D.C., & Kameenui, E.J. (1995).Understanding the role of word recognition in the readingprocess: Synthesis of research on beginning reading.(National Center to Improve the Tools of EducatorsRep. No. 15) University of Oregon.

Carpenter, M., & Tomasello, M. (2000). Joint attention,cultural learning, and language acquisition. In S. F.Warren & J. Reichle (Series Eds.) & A. M. Wetherby & B.M. Prizant (Eds.) Communication and languageintervention series: Vol. 9. Autism spectrum disorders: Atransactional developmental approach. (pp. 31 - 54).Baltimore: Brookes.

Casby, M. W. & McCormack, S. M. (1985). Symbolicplay and early language development in hearing-impaired children. Journal of Communication Disorders,18, 67-78.

Casby, M. W. & Ruder, K. F. (1983). Symbolic play andearly language development in normal and mentallyretarded children. Journal of Speech and HearingResearch, 26, 404-411.

Daneman, M. (1991). Individual differences in readingskills. In R. Barr, M.L. Kamil, P.B. Mosenthal, & P.D.Person (Eds.), Handbook of reading research (Vol. 2, pp.512-538). New York: Longman.

Dawson, G., Meltzoff, A., Osterling, J., Rinaldi, J., &Brown,E. (1998). Children with autism fail to orient tonatually occurring social stimuli. Journal of Autism andDevelopmental Disorders, 28, 479-485.

Gelzheiser, L.M. & Clark, D.B. (1991). Early reading andinstruction. In B.Y.L. Wong (Ed.), Learning aboutlearning disabilities (pp. 262-283). San Diego, CA:Academic Press.

Hart, B., & Risley, T. R. (1995). Meaningful differencesin the everyday experience of young American children.Baltimore: Brookes.

Heath, S. (1983). Ways with words. Cambridge:Cambridge University Press.

Jorm,A., & Share, D. (1983). Phonological recoding andreading acquisition. Applied Psycholinguistics, 4, 103-147.

Juel, C. (1988). Learning to read and write: alongitudinal study of 54 children from first throughfourth grades. Journal of Educational Psychology, 80,437-447.

Juel, C. (1991). Beginning reading. In R. Barr, M.Kamill, P. Mosenthal, and D. Pearson (eds.), Handbookof reading research (pp. 759-788). White Plains, NY:Longman.

Kamhi, A. G., & Catts, H. W. (1999). Language andreading: Convergence and divergence. In H. W. Catts &A. G. Kamhi (Eds.), Language and reading disabilities(pp. 1-24). Boston: Allyn and Bacon.

McCathren, R. B.,Yoder, P. J., & Warren, S. F. (1999).Prelinguistic pragmatic functions as predictors of laterexpressive vocabulary. Journal of Early Intervention, 22(3), 205-216.

McCune, L. (1995). A normative study ofrepresentational play at the transition to language.Developmental Psychology, 31(2), 198-206.

Mundy, P., & Stella, J. (2000). Joint attention, socialorientating, and nonverbal communication in autism. InS. F. Warren & J. Reichle (Series Eds.) & A. M. Wetherby& B. M. Prizant (Eds.) Communication and languageintervention series: Vol. 9. Autism spectrum disorders: Atransactional developmental approach. (pp. 55 - 77).Baltimore: Brookes.

Mundy, P., Kasari, C., Sigman, M., & Ruskin, E. (1995).Nonverbal communication and early languageacquisition in children with Down syndrome and innormally developing children. Journal of Speech andHearing Research, 38, 157-167.

Mundy, P., Sigman, M., & Kasari, C. (1990). Alongitudinal study of joint attention and languagedevelopment in autistic children. Journal of Autism andDevelopmental Disorders, 20(1), 115-128.

Mundy, P., Sigman, M., Kasari, C., & Yirmiya, N. (1988).Nonverbal communication skills in Down syndromechildren. Child Development, 59, 235-249.

Mundy, P., & Willoughby, J. (1998). Nonverbalcommunication, joint attention and early social-emotional development. In S. F. Warren & J. Reichle(Series Eds.) & A. M. Wetherby, S. F. Warren, & J. Reichle(Eds.) Transitions in prelinguistic communication, (pp.111-134). Baltimore: Brooks.

Nelson, K. (1985). Making sense: The acquisition ofshared meaning. Cambridge, England: CambridgeUniversity Press.

Piaget, J. (1962). Play, dreams, and imitation inchildhood. New York: Norton.

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R E F E R E NC E S ( C ON T I N U E D. . . )

Shankweiler, D., Crain, S., Brady, S., & Macaruso, P.(1992). Identifying the causes of reading disability. InP.B. Gough, L.C. Ehri, & R. Treiman (Eds.), ReadingAcquisition (pp. 275-305). Hillsdale, NJ: Erlbaum.

Snow, C. E., Burns, M. S., & Griffin, P. (1998). Preventingreading difficulties in young children. Washington, D.C.:National Academy Press.

Snow, C. E., & Tabors, P. O. (1993). Language skills thatrelate to literacy development. In B. Spodek and O. N.Sarracho (Eds.) Language and literacy in EarlyChildhood Education (pp. 1-20). New York: TeachersCollege Press.

Stanovich, K.E. (1991). Word recognition: Changingperspectives. In R. Barr, M. L. Kamil, P. Mosenthal,and D. Pearson (Eds.), Handbook of Reading Research(pp. 418-452). White Plains, NY: Longman.

Stanovich, K.E. (1993/1994). Romance and reality.The Reading Teacher, 47, 280-290.

Sulzby, E., & Teale, W. (1991). Emergent literacy. In R. Barr, M. L. Kamil, P. B. Mosenthal, & P. D. Pearson(Eds.). Handbook of Reading Research: Volume II (pp.727-757). New York: Longman.

Torgesen, J.K., Wagner, R.K., & Rashotte, C.A. (1994).Longitudinal studies of phonological processing andreading. Journal of Learning Disabilities, 27, 276-286.

Vernon-Feagans, L., Hammer, C. S., Miccio, A., &Manlove, E. (2001). Early language and literacy skills inlow-income African American and Hispanic children.In S. B. Neuman & D. K. Dickinson (Eds.) Handbook of early literacy research (pp. 192-210). New York:Guilford Press.

Wagner, R.K., & Torgesen, J.K. (1987). The nature of phonological processing and its causal role in theacquisition of reading skills. Psychological Bulletin, 101,192-212.

Walker, D., Greenwood, C., Hart, B., & Carta, J. (1994).Prediction of school outcomes based on languageproduction and socioeconomic factors. ChildDevelopment, 65, 606-621.

Wetherby, A. M., Prizant, B. M., & Schuler, A. L. (2000).Understanding the nature of communication andlanguage impairments. In S. F. Warren & J. Reichle(Series Eds.) & A. M. Wetherby & B. M. Prizant (Eds.)Communication and language intervention series:Vol. 9. Autism spectrum disorders: A transactionaldevelopmental approach (pp. 109 – 141). Baltimore:Brookes.

Yoder, P. J., Warren, S. F., & Hull, L. (1995). Predictingchildren’s response to prelinguistic communicationintervention. Journal of Early Intervention, 19(1), 74-84.





Academic competence and socio-emotional adjustment are built upon acommon foundation of early psychosocialdevelopment. Likewise, both are moldedby the cultural and ethnic contexts fromwhich they originate. This is nowheremore evident than among children ofcolor in the United States who occupysocial niches, defined by socioeconomicstatus (SES), gender and ethnicity, whichply them with a risk-inducing formula of above-average environmental strainsand below-average material resources.For many children, this formula resultsin a compromising of social developmentand academic achievement. Earlyintervention, access to high-quality pre-kindergarten programs, improvedteacher preparation and sustained effortsto build collaborative relations betweenfamilies and schools can help correct theimbalance of strains and resources togive children of color a fighting chanceto develop to their full potential.

Academic performance and socialadjustment are founded upon evolvingcompetencies in the self-regulation of attention, behavior, language andemotions (ABLE). The evolution ofthese competencies, however, are directedand shaped by experiences that arestrongly related to cultural imperatives,

ethnicity and socioeconomic status. Notsurprisingly, palpable differences havebeen observed in academic and socio-emotional outcomes that are clearly linkedto income disparities and, at the sametime, fall along the fault lines of ethnicity.To understand these patterns more fully,we must invoke multi-level explanationsthat cut across individual differences,family functioning, school organizationand quality of community life.

This paper describes the status of childrenof color with respect to academic andsocial functioning and summarizes whatis known about processes that constrainand facilitate that development. It arguesthat children of color occupy specificcultural niches in American society thatexpose them to a host of social, familialand community strains while providinglimited resources to help them respond.These strains challenge their ability to cope and to develop normally,compromising for some academic and socioemotional functioning.This inauspicious combination can bedeleterious for social development andschool success of many, though not all,of these children. The purpose of thispaper is to advance the argument thatearly and sustained intervention related

45


C U L T U R E A N D E T H N I C I T Y I N S O C I A L ,E M O T I O N A L A N D A C A D E M I C D E V E L O P M E N T

O S C A R A . B A R B A R I N , P H . D .

Oscar A. Barbarin, Ph.D.

L. Richardson and Emily

Preyer Bicentennial

Distinguished Professor for

Strenthening Families

School of Social Work and

Frank Porter Graham Child

Development Center

University of North Carolina

Chapel Hill, NC 27599-3550

phone: 919-962-6405

[email protected]


to child, family and school can helpcorrect the imbalance of strains andresources to improve the prospects ofchildren of color whose academic andsocio-emotional functioning mightotherwise be compromised.

M E N TA L H E A LT H A N DAC A DE M IC AC H I EV E M E N T OF A M E R IC A N C H I L DR E N

For two decades now, cross-nationalassessments of math, science and readingskills suggest that American K-12students lag behind many of theircounterparts from both industrializedand developing nations (see NationalAssessment of Educational Progress,[NAEP], 1991; Stevenson and Stigler,1992). Despite great efforts to address theproblems of national underachievement,a disturbing lack of progress towardimproving the academic proficiencies of American students still persists.Recognition of these problems has beenfollowed by unusual expressions ofresolve to reform schools and improveeducational outcomes for all children.With surprising unanimity, the emergingnational discourse on educationalimprovement seems to be convergingaround several key elements:

• setting high academic standards,

• conducting annual assessments ofstudent performance and

• requiring accountability ofadministrators, teachers and studentsfor the results.

To date, the fruits of much of thereforms undertaken during that periodhave been disappointing. Even withmajor curricular reforms, which focussingularly on improvements in literacy,the average reading scores failed toimprove for most American fourthgraders between 1992 and 2000.

Clearly, the challenge of developing theacademic talents of American children is a difficult task. Perhaps it is made moreso by the failure to recognize that highachievement is the product of interwovencognitive and emotional process. Missingfrom the dialogue about how to addressthe malaise in American education is anappreciation of the fundamental tiesamong learning, motivation and socio-emotional functioning.


C u l t u r e a n d E t h n i c i t y i n S o c i a l , E m o t i o n a l a n d A c a d e m i c D e v e l o p m e n t

E A R LY A N D SU STA I N E D inter ve ntion related to

child , family and s chool can help cor rec t the

imbalance of strains and res ources to improve

the prospec t s of chi ldre n of color w hos e

academic and socioemotional f unc tioning

might other w is e be compromis ed .

M I S SI NG F ROM T H E DI A LO G U E about how to

a ddress the m alai s e in Amer ican education

is an apprec i at ion of the f und ame ntal t ies

among lear ning, motivation and socio-

emotional f unc t ioning.

Mental health prevalent data suggest thatproblems of socioemotional functioningare common among school-age children.For example, estimates of behavioral,emotional and developmental problemsamong school-aged American childrenrange from 14 to 22% and diagnosablemental disorders from 8 to 10% (Mash &Barkley, 1996). Similarly the Great SmokyMountain Study of Youth (Costello,Angold, Burns, Stangl, Tweed, Erkanli,& Worthman, 1996; Costello, Angold,Burns, Erkanli, Stangl, & Tweed, 1996)found that 20.3% of the children met the criteria for a DSM III-R diagnosis of serious emotional disturbance in ruraland poor children ages nine and older.The most common disorders includeanxiety or phobias, hyperactivity andconduct disorders (Costello, 1989).In addition, as much as one third ofAmerican children evidence sub-clinicalpsychological symptoms, which have adetrimental impact on quality of life andcompromise functioning in domainssuch as school, family life and peerrelations (McDermott & Weiss, 1995).Though often ignored in the call forschool reform, the high prevalence ofbehavioral and emotional difficultiesmakes it impossible to avoid in the classroom.

STAT U S OF C H I L DR E N OF C OLOR

On both indicators of academicperformance and socioemotionaladjustment African-American andLatino children do not fare well and,in many cases, much more poorly thanwhites (Lequerica & Hermosa, 1995;Neal, Lilly, & Zakis, 1993). Informationon the academic outcomes of children ofcolor such as standardized tests scoreson reading, math and science, coursefailures, suspensions, retention anddropout rates are a serious cause forconcern. For example, 40% of African-American children failed at least onesubject, and by the time they reachedhigh school at least 20% had beenretained in a grade (Barbarin, Whitten &Bonds, 1994). In a nationallyrepresentative sample of African-American children, 22.4% of adolescentswere suspended at least once, and 23.1%repeated at least one grade (Barbarin &Soler, 1993).

It is no surprise then that in 1995 forexample the high school dropout ratewas 46% for Hispanic children, 26% forAfrican- Americans, and 17% forCaucasians. At the other end of the K-12continuum, Leadbeater and Bishop(1994) found twice as many African-American preschool children ofadolescent mothers scored in the clinical

47

AS M U C H AS ON E T H I R D of Amer ican

children e v idence sub-clinical psycholog ical

sy mptoms, which have a detr imental

impac t on qualit y of life and compromise

f unc tioning in domains such as school ,

family life and peer relations.

I N F OR M AT ION ON T H E AC A DE M IC outcomes

of chi ldre n of color such as stand ardi zed

test s s cores on reading, m ath and s c ie nce ;

cours e fai lures ; suspe nsions ; rete ntion and

dropout rates are a s er ious caus e for concer n .

range on measures of behavior andemotional functioning than is found inthe normative sample. In the Woodlawnstudy of preschool African-Americanchildren growing up in a low-incomehousing project in Chicago, childrenexhibited significant impairment indomains judged essential for academicachievement and social adaptation(Kellam, Branch, Agrawal, & Ensminger,1975). At least one problem of adaptationwas observed in as many as 68% ofkindergarten children (Kellam, Branch,Agrawal & Ensminger, 1975).

B E H AV IOR PROB L E M S M ASKE MOT IONA L DI F F IC U LT I E S

Though children of color exhibit bothbehavior and emotional difficulties,disruptive behaviors such as aggression,impulsivity, attention deficits, restlessness,substance abuse, delinquency, teenagepregnancy and problems related toacademic achievement have garnered the greatest attention (Barbarin, 1993).Behavior disorders and delinquency are identified more frequently among African-American male adolescents than whites. For example, African-American males accounted for 23% of juvenile arrests and 26% of juvenilesin residential facilities — much higherthan their representation in the adolescentpopulation (Hoberman, 1992).Additionally,African-American children’sinvolvement in the child welfare systemwas found to be three to 10 times higherthan Caucasian children (Goerge,Wulczyn, & Harden, 1994).

Much less attention has been given to the emotional despondence of childrenof color reflected in data on suicide,particularly among males. Behavioralproblems frequently co-occur withdepression and anxiety (Garber,Quiggle, Panak, & Dodge,1991).Because behavioral problems are literally“in your face,” it may be easy to miss the underlying emotional turmoil thatundergirds and perhaps drives theacting-out behavior. Symptoms ofinternalizing disorders are particularlyprevalent among young African-American males in elementary andmiddle school and in adolescent females(Barbarin & Soler, 1993). Children fromlow-income communities report moredepressive symptoms on the Children’sDepression Inventory (child report)than groups on whom the test wasnormed (Kellam et al., 1991; Barbarin,1993). Moreover, in a program ofresearch on anxiety disorders, Neal andTurner (1991) report slightly higher ratesof phobic symptoms among African-American children than might beexpected from existing epidemiologicaldata, and they argue that these arelinked to specific conditions in thesocial environment.



B E C AU SE B E H AV IOR A L PROB L E M S are literal ly

“in your face ,” it m ay be easy to miss the

underly ing e motional tur moil that

underg irds and perhaps dr ives the ac t ing - out

behav ior. Sy mptoms of inter nali z ing

dis orders are par t ic ularly pre vale nt among

young Af r ican - Amer ican m ales in ele me ntar y

and middle s chool and in adoles ce nt fe m ales

C A N P OV E RT Y AC C OU N T F OR ET H N IC DI F F E R E NC E S ?

The poverty rate among African-American children is estimated at 46%.The rates vary among the differentLatino groups with the highest ratesoccurring among Puerto Rican andrecent immigrant groups from CentralAmerica. Poverty is strongly associatedwith the emotional and academicoutcomes discussed above. Of all thecommonly identified social risk factors,socio-economic status (SES) is arguablythe most robust and consistent predictorof psychological and academic dysfunction(Bruce, Takeuchi, & Leaf, 1991; Dutton,1986). Poor children are at greater risk ofdeveloping mental health problems thanchildren who come from more advantagedbackgrounds (Valez, Johnson, & Cohen,1989; Werner & Smith, 1992).

Poverty has an especially pronouncedeffect in the domain of externalizingdisorders (Capaldi & Patterson, 1994)though there is evidence that it canincrease the likelihood of internalizingdisorders as well (Last & Perrin, 1993).Though the observed effect sizes ofpoverty are often small, risks associatedwith poverty are hardly trivial or passing.A combination of economic hardshipand limited access to supportive servicesall combine to disadvantage poorchildren and to place obstacles in the

way of their continued academic andemotional development. The sequelae ofthese conditions can be observed acrossthe life span: increased morbidity andmortality, mood disturbances, academicunderachievement, aggression, prematuresexuality and childbearing, substanceabuse, delinquency, underemployment,high rates of divorce and instability of family life. Risk factors, protectivefactors and emotional regulationrepresent important pieces needed to solve this puzzle.

This raises the possibility that differencesobserved among ethnic groups are tied tothe differences in poverty. Therefore therelationship between ethnicity andacademic and socioemotional difficultiesmay be due in part to poverty. However,Barbarin (2001, in press) has demonstratedthat SES and poverty alone do not fully

49

P O OR C H I L DR E N A R E at g reater r isk of

de veloping me ntal health proble ms than

childre n w ho come f rom more advantaged

back g rounds

A C OM B I NAT ION OF E C ONOM IC hardship

and limited access to suppor t ive s er v ices al l

combine to dis advantage poor chi ldren and to

place obstacles in the way of the ir continued

acade mic and e motional de velopme nt .

account for ethnic differences in academicachievement. This work shows that thegap between African-Americans andwhites does not disappear when youcontrol for poverty. In fact, the gap getswider the higher up the SES scale you go.This suggest a more complex explanationthan poverty or SES is needed to accountfor ethnic differences.

H IG H - R I SK S O C I A L N IC H E S :G E N DE R , P OV E RT Y, ET H N IC I T YA N D C U LT U R E

Children of color occupy social niches in American society that render themespecially vulnerable to a panoply ofsocial, emotional and academicdifficulties. In addition to ethnicity andpoverty status, children may be morelikely to experience difficulties by virtueof gender. Young boys experiencebehavioral and academic problems athigher rates than girls. National studiesof kindergarten children suggest thatethnic differences in socioemotionaloutcomes may be accounted for largelyby males. Specifically African-Americanand Latino males exhibit moredisruptive behavior and attentiondifficulties than white males but nodifferences are observed among females(Center for Health Statistics, 1988).

Unlike the role of poverty, the effects ofculture on socioemotional developmentand academic readiness is more nuancedand less understood. This is in partbecause we are still grappling with thedefinition and meaning of culture andethnicity in the dynamic gumbo of a

society in which we live. Our bestthinking is that indeed culture and itsassociated practices and beliefs influencethe differential outcomes of children butthe data on this point in an Americansetting are too sparse to be compellingand conclusive.

It is important to distinguish betweenculture and ethnicity. They are not thesame. Ethnicity is based on a process of psychological identification made by individuals. Ethnicity is a way ofrepresenting primary social affiliationand personal identification beyond thelevel of the family. Ethnicity exists at thepsychological level within individualsand families. Though a shared culturecan be the basis for and supportindividual ethnic identification, ethnicityand culture are not co-terminus.



I T I S I M P ORTA N T TO DI ST I NG U I SH bet wee n

C U LT U R E and ET H N IC I T Y. Ethnic it y i s a way

of repres e nting pr im ar y s oc i al af f i li at ion and

pers onal identif icat ion be yond the le vel of

the family.

U N L I K E T H E ROL E OF P OV E RT Y, the e f fec t s

of c ulture on s oc ioe motional de velopme nt

and acade mic readiness i s more nu anced

and less understood .

Culture refers to a dynamic and sharedsystem of beliefs, mores, values, attitudes,practices, roles, artifacts, symbols andlanguage. It represents a group’s collectivewisdom and aspiration that surroundand are reflected in routines of dailyliving. Culture guides how a group solvesproblems, how they approach mundanetasks and how they address eschatologicalchallenges such as the meaning of lifeand death. Culture is reflected in thestructure of social relationships — withinand outside of the group — and defineobligations and rights among a group ofpeople who possess a common identity.Cultural demands, values and worldviews determine how children’s academicaspirations and social behaviors areexpressed and interpreted.

Partially as a consequence of environ-mental demands and social conditions,culture may influence socializationgoals and practices that might bereflected, for example, in beliefs abouthow independent children should beand how early in life should independencebe encouraged (Weisz & Sigman, 1993).Similarly, differences in culturalconceptualizations of social relationsmay shape expectations of how childrenshould behave or express their emotions.

For example, Guerra, Huesmann, Tolan,Van Acker, and Eron (1995) demonstratedthat specific cultural attitudes and beliefsunderlie the high levels of conductproblems often observed in ethnicminority children. They tested therelationships of aggression to poverty-related stress, and the world views ofLatino and African-American children.Both stress and beliefs significantlypredicted levels of aggression. Thus,withdrawn behavior, aggression or high anxiety in children can beregrettable but understandableadaptations to an unpredictable and threatening environment (Dubrow& Garbarino, 1989). Though basedpurely on speculation, cultural viewsabout children, the timing and content of their learning and culturally basedsocialization goals may influence parentexpectations of their own and theschools role in the education of theirchildren. How parents define theirroles will directly influence theirpractices and their expectation ofwhat schools should be doing which in turn may affect children’s outcomes.The interactions and compatibilitiesbetween parents cultural beliefs abouttheir role and the practices andexpectations of school are likely to have a profound influence on how wellthe two work together to promotechildren’s learning and development.

51

C U LT U R A L DE M A N D S , values and world

v ie ws deter mine how children’s academic

a spirat ions and s oc i al beh av iors are

ex press ed and inter preted .

Accordingly, gender, SES, ethnicity and its associated cultural features and may be used as co-ordinates to demarcateparticular ecological niches in society.Viewed in this way, the notion of nicheemphasizes the idea that critical socialdemarcators combine and interact tocreate a context of development withunique properties. The importance ofthese niches is that some social nichescarry with them a set of features,circumstances and challenges thatpredispose their occupants to academicand socioemotional difficulties. Clearly,African-American and Latino children,particularly the poor and especiallymales, occupy niches that deserve fullerunderstanding and exploration if we are to make a dent in the problems ofacademic access in the U.S.

C RO S S - C U LT U R A LC OM PA R I S ON S OF A F R IC A N -A M E R IC A N A N D S OU T HA F R IC A N C H I L DR E N .

It is possible to learn a great deal fromgazing inward through comparisons of ethnic groups in the United States.A different and enlightening perspectivecan be obtained by cross national andcross-cultural comparisons. For example,Barbarin (2001) compares the functioningof African-American and South Africanboys and girls on indicators of socio-emotional function. In addition to thenational comparison, this research madeit possible to assess whether the socialniches demarcated by being black, beingmale or female and poor or not poorproduce the same effects on children’sfunctioning in the United States andSouth Africa.



S OM E S O C I A L N IC H E S car r y w ith them a

set of features, circumstances and challenges

that predispose to their occupants to academic

and socioemotional diff iculties.

The results revealed interesting differencesfor behavioral and emotional problemsamong young African-American andSouth African children.African-Americanchildren scored significantly higher thanSouth Africans on the scale scores foranxiety-depression, immaturity, oppositionand hyperactivity. Compared to SouthAfrican children,African-Americans are, in general, more troubled and moresusceptible to risk of psychologicaldysfunction.African-American childrentend to have greater vulnerability withrespect to internalizing symptoms,suggestive of over-regulation amongAfrican-Americans, and South Africanchildren have greater vulnerability tosocially disruptive behavior, suggestive of sub-optimal regulation (Hammen &Rudolph, 1996).

Being a black male in the United Statesemerges as a particularly difficult niche.African-American boys evidenced apattern of heightened vulnerability forbehavioral and emotional difficulties.For example, of all groups in the study,African-American boys have the greatestdifficulty with concentration problemsand emotional difficulties. Mostimportantly, whereas poor children inthe United States had more difficultythan the non-poor, poverty made nodifference for South African children.Even though South African childrengrow up under conditions that are asadverse as — if not more than — thosefor African-Americans, the social andcultural niches they occupy may affordthem some protections not available toAfrican-American children.

For example, a different consciousness of self, founded in the perception ofpoverty not as a stigmatizing conditionof the self but as a temporary state ofaffair not attributable to one’s own defectsas an individual or ethnic group. Otherexplanations include the psychologicalprotections afforded by majority status to black South Africans and the stressbuffering resources of support fromextended family networks. This suggestsimportantly, that the niches occupied by poor children need not have thedebilitating quality it has here.

A R E P SYC HOLO G IC A LPROB L E M S R E L AT E D TOAC A DE M IC PE R F OR M A NC E OF C H I L DR E N OF C OLOR ?

Problems in the acquisition of socialemotional competence are important to note in their own right, but theirsignificance increases when we weightheir role in the acquisition anddevelopment of academic skills. For themany children who experience academicdifficulties, the attainment of socio-emotional and self-regulatory competencesets the stage for and is essential to later

53

B E I NG A B L AC K M A L E in the United States

e merges a s a p ar t ic ularly dif f ic ult niche.

Af r ican - Amer ican boys e v ide nced a pat ter n

of he ighte ned v ulnerabilit y for behav ioral

and e motional dif f ic ult ies .

T H I S SU G G E STS I M P ORTA N T LY, that the

niches occ upied b y poor childre n need not

have the debi litat ing qu alit y it has here.

academic achievement. Problems insocioemotional competence not onlydiminish academic achievement but alsocomplicate efforts to remediate problemsin skill acquisition by males. Serious oreven moderate behavioral, attentional oremotional difficulties often are identifiedby teachers as significant impediments toachievement. These problems reduce theability of children to marshal theirintellectual resources to learn andultimately weaken academic motivationand engagement. Such deficits also divertthe energies of teachers from engagingchildren in needed instructional activity to enforcing classroom order and discipline.

The Orange County, Fla. school systemdiscovered that middle school studentswith behavioral problems who had beensuspended 30 days or more had readingcomprehension scores below the 25thpercentile. In this way, socioemotionalcompetence is an essential ingredient of school success because it constitutes a prerequisite condition for effectiveinstruction and learning. Problems ofsocioemotional functioning very oftenoccur along side academic problems.For this reason, school reform effortsthat ignore these issues are myopic andare likely to be limited in success.

Children of color who appeared to be on track and performing acceptably inthe early elementary school years in theacademic arena and who showed nosigns of behavioral difficulties may getinto difficulty in spite of their earlierpromise. By the time they reach the middleschools years, many experience a noticeableslowing of academic progress that iscoupled with an increase of disciplineproblems. Males, especially, becomeembroiled in a persistent cycle of mooddisturbances, disruptive behavior,underachievement and low morale that belies their very promising start in school.

How can we account for this deviationfrom what appeared to be a normal and healthy developmental trajectory?Barbarin (2000) examined data oncross-sectional age cohorts of African-American children, ages 5-17 that showthat depressive symptoms (parentalreports) have a peak incidence for boysat about ages 9-10 (Grades four and five),then drop in older cohorts. This alsocorresponds to the time point when the



F OR T H E M A N Y C H I L DR E N w ho ex p er ie nce

acade mic dif f ic ult ies , the at tainme nt

of s oc ioe motional and s elf - reg ulator y

compete nce s et s the stage for and is

ess e nti al to later academic achie vement.

S O C IOE MOT IONA L C OM PET E NC E i s an

ess e nti al ing redie nt of s chool success becaus e

it const itutes a prerequisite condit ion for

e f fec t ive instr uc t ion and lear ning.

C H I L DR E N OF C OLOR W HO appeared to be on

t rack and p er for ming acceptably in the early

ele me ntar y s chool years in the acade mic

arena and who showed no sig ns of behav ioral

dif f ic ult ies m ay get into dif f ic ult y in spite

of the ir earlier promis e.

average performance of African-Americanmales on standardized reading and mathtests begins to dip below grade level(Ferguson, 2000). For girls, depressivesymptoms are only moderately elevatedup through age 10, but rise and peakamong 15- and 16-year-olds. Females in this age group show a similar declinein academic performance compared totheir non-poor peers.

These trends hint at an intriguing temporalrelationship between depressive affectand academic achievement. It appearsthat after an incidence of depressivesymptoms peaks and drops, academicfunctioning declines. The lack of a strongachievement motivation may in fact springfrom a generalized dysphoria that mayaffect investment in academic tasks.

These hypothesized relationships implyan age-linked decline in academicachievement and intra-individualcovariation between depression andachievement that can be best testedthrough time-series data. Supporting this assertion, Connell, Spencer and Aber(1994) show that parental involvement,disaffection and academic effort arereciprocally related. Longitudinal data onpoor children demonstrate that importantchanges occur in peer associations andmundane stressors that affect selfperception and academic achievementduring the transition to middle school(Seidman, Allen, Aber, Mitchell, &Feinman, 1994).

PRO C E S SE S I M P L IC AT E D I N T H EAC A DE M IC A N D E MOT IONA LF U NC T ION I NG

The challenge facing researchers is toidentify processes in high-risk socialniches that enhance or impair functioning.There is no dearth of evidence regardingthe high rate of debilitating experiencesthe social niches occupied by poor,ethnic minority children. These include:

1) child history of early deprivation and trauma,

2) family instability and conflict,

3) involvement in the child welfaresystem, and

4) neighborhood danger and limited resources.

(Basic Behavioral Science Task Force on the National Advisory Mental HealthCouncil, 1996).

The closest we have come to articulatinghow these eventuate in academic andsocioemotional problems is a stressdiathesis model. First, life among thepoor is filled undeniably with stressors —mundane and serious. The neighborhoodecology that characterizes the socialniches of impoverished children of colorinclude limited outlets for stimulating,cognitively enhancing and recreationalactivities. In many urban schools, poorchildren may face instability of teachingstaff; low teacher morale; ineffective

55

T H E L AC K OF A ST RONG achie ve me nt

motivation may in fac t spr ing f rom a

ge nerali zed dysphor i a that m ay af fec t

investme nt in acade mic task s .

T H E C H A L L E NG E FAC I NG res earchers i s to

ide ntif y process es in high - r isk s oc i al niches

that e nhance or impair f unc tioning.

instructional programs; problems ofdiscipline; weak, distrustful relationsbetween school and families; and limitedcaretaker involvement in the child’s life atschool. In addition, crime victimizationis associated with emotional disturbancein children, but chronic exposures toviolence such as witnessing violent acts inthe community is not (Fitzpatrick, 1993).

These conditions place demands thatdivert attention, lower the personalcapacity for monitoring/nurturing/control functions of parents, and mayimpair children’s development of self-regulation. In promoting this view ofpoverty as a multi-dimensional construct,it is neither accurate nor necessary toresurrect from the past, long-discreditednotions such as a “culture of poverty.”Rather, the model emphasizes thatchildren growing up in impoverishedcommunities live under conditions ofextreme familial and community stressthat severely test their capacity to cope(McLoyd, 1998). For children of colorand their families, racism is anothercontinuing and virulent source of distress.Racial and ethnic discrimination mayfurther account for differences in worldviews and orientations toward life thataffect parents’ reports of children’s

behavioral and emotional difficulties.Some parents may exhibit moreresignation in the face of hardship.Others may engage in self-blame for thelack of opportunities available to themor for the lack of respect and courtesythey receive from others. Still othersmake externalized attribution or system-blame when confronted with racism orracial slights.

FA M I LY ROL E

Family life provides the most importantpotential sources of protection forchildren occupying these risky socialniches. Although family life is shaped by socioeconomic and cultural forces,family strengths such as close supportiverelationships, high expectations and fair,consistent discipline can sometimescompensate for the adverse effects of SESon children’s achievement. There is greathope for children growing up in homescharacterized by warmth, cohesion,enlightened discipline, culture and ethnicidentification, supportive extra-familialrelationships, and community structuressuch as churches, neighborhoodorganizations and schools that effectivelypromote competence in social andcognitive domains .



T H E MODE L E M PH ASI Z E S that chi ldre n

g row ing up in impover ished communit ies

live under condit ions of ex tre me famili al

and communit y stress that s e verely test

the ir capac it y to cope. For chi ldre n of color

and the ir families , rac ism is another

continuing and v ir ule nt s ource of distress .

FA M I LY L I F E PROV I DE S the most impor tant

p ote nti al s ources of protec t ion for chi ldre n

occ upy ing thes e r isky s oc i al niches .

Parental optimism and perceptions of themselves as capable of copingsuccessfully with life’s problems arepositively associated with children’ssocial and academic functioning(Slaughter & Epps, 1987). Social supportin the family, neighborhood, schoolsand churches are reported to act asbuffering agents as they reduce emotionalstrain on parents and also help to decreasethe presence of punitive, coercive andinconsistent parenting behaviors(McLoyd, 1998). Thus, these socialnetworks have an indirect effect on the economically disadvantaged child’ssocioemotional development.

The common elements identified in these approaches as mediatingdevelopmental outcomes includesociocultural resources such as ethnicidentity, religiosity and extended kinnetworks, and individual coping styles.The relations of these factors to oneanother and to developmental outcomesare not clear. It is likely that the interactionamong these personal and environmentalfactors constitutes a process throughwhich children accommodate to adverse circumstances and remain on course toward normal social andemotional development.

FA M I LY PR AC T IC E S A N D ROL EI N C H I L DR E N’ S S O C I A L A N DAC A DE M IC DEV E LOP M E N T

Children’s adjustment to school isunquestionably affected by the extent towhich parents create an environment athome that is conducive to and activelypromotes an expanding knowledge oftheir world, skilled use of language,emergent reading, academic motivation,autonomy, persistence and adherence tosocial rules. By acts of omission andcommission, by the power of warminterpersonal ties and responsive controland by articulating values and transmittingexpectations, families most effectivelystimulate, elicit and nurture an achievementorientation, instill a balance betweenconformity and independence, andnurture curiosity, self-regulation andpro-social behavior.

57

PA R E N TA L OP T I M I SM and perceptions of

the ms elves as capable of coping

successf ul ly w ith life’s proble ms are

p osit ively ass oc i ated w ith chi ldre n’s s oc i al

and acade mic f unc tioning

However, these practices may beinfluenced by cultural and socio-economic status. For example, higherlevels of maternal education offer a clearand well-documented advantage toparents by enriching the range and natureof interactions with their children in away that engenders these competencies(Luster and McAdoo, 1996). Differencesamong parents on socialization goalsand practices resulting from ethnicityand culture are asserted but are not well documented. Gaps still exist in ourknowledge about the specific strategiesparents use, particularly African-Americanand Latino parents and the efficacy ofthese strategies either in directly facilitatingchildren’s early achievement in reading,math and social competence or in thesteps they take to communicate andwork with school staff.

W H AT N E E D S TO B E D ON E ?

Problems in the acquisition of social-emotional competence are important to note in their own right but may gain in significance when we consider theirpossible role in academic difficulties.Many children who experience delay inthe acquisition of early academic skillsalso present problems of socioemotionalfunctioning. The material hardship and

limited educational resources in low-SESfamilies are thought to be so strained thatrelationships are disrupted and the qualityof parent-child relationships are impaired.

Unfortunately, the capacity of the publicsector to meet the mental health needs ofyoung children has diminished over thepast two decades. Children’s utilization ofmental health services has been limitedby decreasing mental health budgets.

DI F F E R E N T I A L AC C E S S TO SE RV IC E

The mental health status of African-American and Latino children has beenexacerbated by an historical under-representation of these children amongthose served by the public mental health system. Children and families of color have been underserved andinappropriately served by public andprivate human service systems withinthe United States (Hernandez, Isaacs,Nesman, & Burns, 1998). Similarly,Knitzer (1982) found that ethnic minoritychildren with mental health problemsoften were not identified and did notreceive appropriate treatment. The lackof sufficient mental health services hasalso been demonstrated for economicallystrained, urban children of color (Sue &Zane, 1987).



CHILDREN’S ADJUSTMENT to school is

unquestionably affected by the extent to

which parents create an environment at home

that is conducive to and actively promotes an

expanding knowledge of their world, skilled

use of language, emergent reading, academic

motivation, autonomy, and persistence and

adherence to social rules.M A N Y C H I L DR E N W HO ex per ie nce delay

in the acquisit ion of early acade mic ski l ls

als o pres e nt proble ms of s oc ioe motional

f unc tioning .

When services are not received forpreventable mental health difficultiesearly in life, we are forced to rely onprograms, such as the juvenile justice and child welfare systems, later in lifewhen the problems become moredifficult to manage. Even in the childwelfare system African-Americanchildren were also less likely to receiveservices than Caucasian children whentheir degree of need was the same. Thisresulted in fewer positive outcomes,lengthier out-of-home placements andhigher rates of foster care placements(Courtney, et al, 1996). The effects ofunder-identification and under-serviceof children of color also are felt by theeducational system. However, ethnicminority children with mental healthproblems are often over-represented in special education classrooms, which may eventually lead to school failure and ultimately school drop out. Thus,the early identification of mental healthproblems for ethnic minority childrenearly in life, coupled with an effectiveorganization for referral and servicedelivery, has long-term implications for preventing adolescent problembehaviors and increasing the productivityof future generations.

The special circumstances and burden ofstrains experienced by children of colorrequires additional resources to make itpossible for more children of color toachieve academic success and socio-emotional adjustment. There are manypromising ideas that emerged in the pastfive years for ways to intervene that willmake a difference in improving theirchances of success. Interventions focusedon improving and enriching the socialand familial environments of children,particularly for young children. Allchildren will prosper in 4-S environments:safe, stable, supportive and stimulating.The following are ways to increase the probability of such environments for children:

• Increase access to high-quality earlychildhood programs by full funding of Head Start and voluntary universalPre-K.

• Add courses and group experiences toteacher preparation programs whosegoal is to deepen multi-culturalunderstanding.

• Strengthen the relationships amongteachers, children and their familiesthrough programs that bring familiesand community into schools.

59

W H E N SE RV IC E S A R E NOT rece ived for

pre ve ntable me ntal health dif f ic ult ies early

in life , we are forced to rely on prog rams ,

such as the juve nile just ice and chi ld

welfare syste ms , later in life w he n the

proble ms become more dif f ic ult to m anage.

T H E E A R LY I DE N T I F IC AT ION of mental health

problems for ethnic minor it y children early in

life , coupled w ith an ef fec tive organization

for refer ral and ser v ice deliver y, has long-

ter m implications for pre venting adolescent

problem behav iors and increasing the

produc tiv it y of f uture generations.

• Create hospitable and congenial workconditions for preschool teachersthrough improved pay and in-servicetraining and support.

• Conduct research to help specify and document culturally sensitivepractices with children in earlychildhood programs.

• Provide high-quality mental healthservices in primary health clinics,schools and community programs.

Even modest efforts in these areas wouldgo a long way to address the needs ofchildren of color who occupy sociallyrisky niches in society.

R E F E R E NC E S

Barbarin, O. (1999). Social risks and psychologicaladjustment: A comparison of African-American andSouth African children. Child Development, 70,1348-1359.

Barbarin, O. (2001, In Press) African-American malesin kindergarten: social risks and development of readingand numeracy. Journal of Negro Education.

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Promoting Social and Emotional Development in Young Children: The Role of Mental Health Consultants in Early Childhood Settings

PAUL J . DONAHUE, PH.D.

Director, Child Development Associates

Scarsdale, NY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Promoting Social and Emotional Development in Young Children: Promising Approaches at the National, State and Community Levels

ROXANE KAUFMANN, M.A.

DEBORAH F. PERRY, PH.D.

Georgetown University Child Development Center

Washington, DC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

63




64T H E V I E W F R O M T H E F I E L D



P R O M O T I N G S O C I A L A N D E M O T I O N A L

D E V E L O P M E N T I N Y O U N G C H I L D R E N :T H E R O L E O F M E N T A L H E A L T H C O N S U L T A N T S

I N E A R L Y C H I L D H O O D S E T T I N G S

P A U L J . D O N A H U E , P H . D .

I N T RODU C T ION :T H E C H A NG I NG ROL E OF E A R LYC H I L DHO OD E DU C AT ION

Early childhood programs fill importanteducational and economic demands inthis country, and are no longer viewed asplayful and optional additions to familylife. With the advances in the study ofbrain development in infants and toddlersand research on the early acquisition oflearning skills, preschool education hastaken on a new significance. Earlychildhood programs also meet the needsof working families needing out-of-homechild care. Most women (nearly 60%)with children younger than age 6 are in thelabor force and need child care for at leastpart of the work week. Recent changes inwelfare and workfare legislation have alsoincreased the demands for child care, andmore young children are now spendingextended days in center-based care. It isnow widely accepted that early childhoodeducators play a major role in shapingchildren’s emotional, social and cognitivedevelopment, and help to lay thefoundation for future academic success.Many early childhood centers have alsobecome cornerstones of their community,offering parenting workshops, recreationalprograms and health and education classes.

With their increasing prominence, earlychildhood programs are typically thefirst to feel the impact of family stresses.In many urban and some ruralcommunities, Head Start centers andchild care programs serve large numbersof disadvantaged families. Many of thesechildren are affected by their parents’struggle to provide for their families’basic needs and to maintain adequatehousing and employment, and come totheir centers bringing their worries withthem. Fewer young children now live intwo parent households than at any pointin recent times.Across all socioeconomicgroups, a large percentage of marriagesthat have produced children now end indivorce, and 40-50% of children born inthis country in the last decade will residein single-parent homes at some point in their childhood (Dubow, Roecker & D’imperio 1997). With thesedevelopments, early childhood educationprograms are often implicitly or explicitlyasked to take a more primary role inchild rearing.

Paul J. Donahue, Ph.D.

Director

Child Development

Associates

6 Palmer Avenue

Scarsdale, NY 10583

phone: 914-723-2929

[email protected]


The increase in the reported incidence oftrauma in families has raised new concernsabout the psychological developmentand educational needs of young children.Violence, both within the home in theform of domestic violence and childabuse, and in the community, has beenshown to have a profound impact onchildren’s emotional adjustment andcognitive development (Aber & Allen,1987; Pynoos & Eth, 1986, Zero toThree, 1994). In families affected bysubstance abuse, HIV/AIDS, mentalillness and other debilitating diseases,children have been forced to deal withthe loss or potential loss of parentingfigures, often forcing young children to take on caretaking responsibilities.Research has shown that children withmany risk factors like those outlinedabove are far more likely to show signs ofemotional maladjustment or behavioralproblems (Rutter & Quintin, 1977).

Young children are especially vulnerableto the disruptions caused by traumaticevents, as they do not have well-developedphysical or psychological resources todefend against them. They depend onadults to help them make sense of thetrauma, heighten their resilience andshield them from its ill effects. Whentheir primary caretakers also are affected,they are less available to providereassurance to their young children andto help them re-establish their sense of

safety and security. As a result, theburden of care for these children oftenshifts, at least in part, to caretakers outsidetheir home. The child care center oftentakes on added significance for childrenimpacted by trauma who craveconsistency and nurturance and arelooking for a safe haven where they canplay and learn and focus on more age-appropriate tasks of development.

CHALLENGES IN THE CLASSROOM

Many of the children who have haddisruptions in their early developmentand attachments present with challengingbehaviors in the classroom. They mayappear to be fearful, disorganized,inattentive and unresponsive to learning(Koplow, 1996). Head Start teachers havereported that their students are displayingmore symptoms of emotional distress,including withdrawal and depression aswell as acting out and aggressive behaviors(Yoshikawa and Knitzer, 1996). Thistrend mirrors findings from epidemi-ological research suggesting an increasedprevalence of psychiatric disorder inchildren, with onset at younger ages(Cohen, Provet & Jones, 1996). Many of the disturbances that emerge in olderchildren can be traced to risk factorspresent in infancy and early childhood(Werner, 1989).

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T H E I NC R E ASE I N the repor ted inc ide nce of

t raum a in families h a s rai s ed ne w concer ns

about the psycholog ical de velopme nt and

educational needs of young childre n .

Many early childhood programs arestruggling to adapt to this added respon-sibility. Teachers and other preschoolstaff are often overwhelmed by the extentof their children’s disturbance or distress,and do not feel they have received adequatetraining to respond to their needs(Knitzer, 1996). They fear that openingup discussion of traumatic or stressfulevents might lead to unpredictableemotional reactions in the children thatthey cannot control. Teachers also oftenfeel pressured to maintain a formalacademic curriculum with an emphasison the mastery of cognitive concepts,and do not feel it is appropriate to use classroom time to deal with theirchildren’s emotional turmoil (Hyson, 1994).

In addition to coping with an increasein family stresses and childhood trauma,many early childhood programs arestruggling to maintain developmentallyappropriate curriculum in the face ofexternal pressure to focus more directlyon early academic tasks. This trend isseen frequently but not exclusively inmiddle and upper middle class comm-unities where pressure to compete withpeers and stay ahead of age expectanciescan add undue stress to children andtheir families. Preschools that emphasizesocial and emotional development

more than teaching pre-academic skills (learning letters, colors andnumbers, etc.) often feel at odds withthe parents they serve and, notinfrequently, with local school districtswhose expectations for kindergartenchildren are often at the far end of adevelopmental continuum. As oneteacher described the situation inWestchester County,“kindergarten isnow equivalent to second grade just 15 years ago.”As a result, some preschoolsfeel they must move forward withlearning tasks before many childrenhave the developmental skills to succeed,including the ability to separate andwork independently, to tolerate frustrationand persevere, and to remain attentiveand delay gratification.

A COLLABORATIVE MODEL:MENTAL HEALTH CONSULTATION

Given the changes in early childhoodeducation and mental health, thepreschool has become, in many ways,the ideal setting for integrating the workof professionals in both disciplines.Forging a partnership between mentalhealth professionals and teachers allowsschools to provide a comprehensiveapproach to the emotional and cognitivedevelopment of the children they serve.The preschool is also a logical place forclinicians to reach out and involve parentsin their children’s development, and tosupport them in developing their owncoping strategies. Unlike the clinic or office, the school provides ampleopportunities for more informal andbrief interactions between a mentalhealth consultant and parents.



M A N Y E A R LY C H I L DHO OD prog rams are

str ug g ling to m aintain de velopme ntal ly

appropr i ate c ur r ic ulum in the face of

ex ter nal pressure to foc us more direc t ly on

early acade mic task s .

In this way, parents and other familymembers can come to know the cliniciansat their own pace in a familiar settingoften before any concerns regardingdevelopmental delays or emotionaldistress in the children have been noted.

Early childhood programs are oftenmainstays in their neighborhoods,respected and trusted by the localpopulation. Joining together with theseprograms gives clinicians the imprimaturto practice without the same stigma orskepticism that might be applied in theless familiar office environment. Theexperienced mental health consultantwill also seek to learn more about theethnic and cultural traditions of thefamilies, the program and the localcommunity. The preschool/mental healthpartnership presents the opportunity toprovide interventions that respond to theneeds of all the children in the center, notjust those with identifiable symptoms ofemotional disturbance or those deemedmost at-risk. Clinicians can be availableto consult on issues of any magnitude,as their primary role is to foster thebehavioral, emotional and cognitivedevelopment of all children.

This prevention model includes “check-ups” of all the classrooms throughobservations and sitting in on teammeetings, and “wellness” visits with thosechildren who are responding nicely tothe school environment. This approachallows the clinician to not only respondto crises and dire situations but, in someinstances, to anticipate them, and provideearly intervention to children at risk.In addition, the consultant has theopportunity to acknowledge and enhancethe everyday workings of the teachersand staff in the school that create awelcoming environment and foster thesocial and emotional competence of allthe children.

67

THE PRESCHO OL IS also a log ical place for

clinicians to reach out and involve parents

in their children’s development, and to

suppor t them in developing their ow n

coping strateg ies.

T H E PR E S C HO OL / M E N TA L health par tnership

pres e nt s the oppor tunit y to prov ide

inter ve ntions that respond to the needs of

al l the chi ldre n in the ce nter, not just thos e

w ith ide ntif i able sy mptoms of e motional

disturbance or thos e dee med most at - r isk .

PR E C U R S OR S TO A N E F F E C T I V EC OL L A B OR AT ION : SK I L L S A N DC OM PET E NC I E S

Developing an effective collaborationbetween mental health providers andpreschools requires a good deal ofenthusiasm, respect and support fromboth parties. The mental health consultantmust be careful to develop a set of sharedassumptions and goals with the school,and not assume a rigid “expert” stanceregarding the ways to enhance thechildren’s development. The process of defining goals should result from amutual examination that draws on theexpertise of both teachers and clinicalstaff. Consultants must also recognizeand appreciate the opportunitiesavailable in this setting to have an impacton a wide number of children, parentsand educators.

Although clinicians of diversebackgrounds and experience can functionin this role, the effective consultant mustbe flexible and team-oriented, enjoycommunity-based settings, and becomfortable working autonomouslyapart from other clinicians. The consultantmust also be adept at handling multipleroles and responsibilities, including crisisintervention, parent workshops, childobservations and assessments, teacher

training and systems work. Perhaps most importantly, consultants shouldacknowledge their own limitations assole agents of change, and must seek toshare their knowledge and training withteachers and parents who will have thegreatest impact on the young children in their community.

The partnership is enhanced whenteachers are willing to consider theireducational role in broad terms thatencompass the social and emotionaldevelopment of children. The mentalhealth collaboration will also bestrengthened if teachers are open to new ideas and disciplines, and arewilling to integrate these in theclassroom. Ideally, they are willing to undertake new challenges with theconsultant, to focus on children’s feelings and social skills, to confront the sometimes difficult realities of theirchildren’s lives, and to reflect on anddiscuss their own feelings and reactionselicited in their work with the children.



THE MENTAL HEALTH CONSULTANT must be

careful to develop a set of shared assumptions

and goals with the school, and not assume a

rigid “expert” stance regarding the ways to

enhance the children’s development.

T H E PA RT N E R SH I P I S E N H A NC E D w he n

teachers are w il ling to consider the ir

educational role in bro ad ter ms that

e ncompa ss the s oc i al and e motional

de velopme nt of chi ldre n .

C OL L A B OR AT ION W I T HT E AC H E R S

The mental health consultant workingwith early childhood teachers will bemore effective if she works to develop an open and respectful relationshipwith them, that encourages a free flowof information back and forth. Thedegree of warmth and trust in therelationship will further influence theteacher’s acceptance of this “outsider’s”presence, and will impact on the children’swillingness to relate to the consultantand share their feelings and concerns.At some point, the consultant mustprove herself to the teacher, by activelyhelping in the classroom, dealing withdifficult children or being available todiscuss personal issues. She should alsorecognize that the teachers are the keyagents of change within the program,and that the work in the classroom willhave the most far-reaching impact onthe children. Gaining an appreciationthat early childhood teachers are also often firmly embedded in thecommunities they serve, and frequentlyhave long-standing relationships withfamilies that they refer to theconsultant, will also serve her well.

Interventions in the classroom oftenemanate from teachers who look to try out or get approval for their ideasfrom the mental health consultant.A suggestion to use more transitionalobjects with foreign-born Andre, a 4-year-old boy with severe separationanxiety, or to provide more “specialtime” to a 3-year-old Anna, whosefather had recently succumbed to along illness, are but two examples ofstrategies proposed and carried out by teachers with the consultingpsychologist’s encouragement. Thisteam approach can demystify notionsof “promoting mental health” and assureteachers the consultant is there to supporttheir work and help the children feelmore comfortable. In this process, theteachers often come to realize that theirgoals in the classroom — helpingchildren feel secure, teaching them toshare and work cooperatively, workingthrough frustration, helping children to focus and learn self-control — are,in fact, the “cornerstones” of social and emotional competence in young children.

69

T H E M E N TA L H E A LT H consultant working w ith

early chi ldhood teachers w il l be more e f fec t ive

if she work s to de velops an ope n and respec t f ul

relat ionship w ith the m , that e ncourages a f ree

f low of infor m ation back and for th .

T H E T E AC H E R S OF T E N come to reali ze that

the ir go als in the c lassroom — helping

childre n feel s ec ure , teaching the m to share

and work cooperatively, working through

f r ustration , helping chi ldre n to foc us and

lear n s elf - control — are , in fac t , the

“cor nerstones” of s oc i al and e motional

compete nce in young chi ldre n .

Classroom management techniquesoften require more intensive and jointplanning, but generally begin with theteacher’s request for help with difficult to manage children:

Andrew, 3 1/2- years old, was awhirling dervish in the classroom.Impulsive and somewhat aggressive,he would frequently run about theroom crashing into other children ortoys, and disturb free play time as well as story time. Early attempts tocontain his aggression were fairlysuccessful, as Dr. Jones, the consultingpsychologist, and his teacher, Ms.Winn, designed a behavioral plan for school and home that his parentgladly adopted. His impulsivity andhyperactivity continued to wreakhavoc, however, especially duringcircle time. Finally Ms. Winn decidedto have Andrew sit in an adult-sizedcushioned chair by her side at circle,in which no other children were allowedto sit. Andrew readily took to this idea,and though fidgety and often inattentive,he began to sit through most circle times.Few other children complained aboutAndrew’s “special chair” as they seemedto recognize that his sitting thereallowed them to enjoy the teacher’sstories. In fact many became protectiveof Andrew’s new position, and wouldmildly scold each other if they usurpedhis place.

In this case, the consultant helped todesign a behavior rewards system, butplayed a more critical role in supportingthe teacher’s ideas for how to contain andmanage her student. Together they chartedhis progress, looking for changes in thefrequency, intensity and duration of thetargeted behaviors. This process is oftencritical with more active or impulsivepreschoolers, as it highlights that attention,impulse control and inhibition aredevelopmental processes, not fixedentities. Seeing progress toward moreself-control and focus is often the key to teachers’ being more receptive to thesechildren and less likely to want to labelthem or, in more severe cases, to ask that they be medicated or removed from their classrooms.

In a well-functioning partnership, eventhe most traumatic events can be jointlyaddressed by teacher and consultant:

Ms Marano, an experienced headteacher, and Ms. Andrews, a consultingsocial worker, had been working closelytogether at St. Joseph’s Head Start fortwo years. Though initially quiteanxious when discussing her children’semotional concerns, Ms. Marano hadgained considerable confidence in thisarea, and knew she could call on Ms.Andrews for support as needed. Onone Monday morning, 4-year-oldCharles announced to the class thathis mother had been stabbed over theweekend. Ms. Andrews was immediatelycalled into the classroom, spoke withCharles and his teacher, and led abrief circle time in which she clarifiedwhat had happened, elicited thechildren’s concerns regarding theirown and Charles’ safety, and offered



them the opportunity to discuss things further with her or Ms. Maranowhenever they desired. Ms. Maranodid not shy away from this event, andcontinued to report on Charles’ andthe other children’s progress in teammeetings, and to call Ms. Andrewsback for check-ups with the class overthe next several weeks.

This young boy would have no doubtbenefited in any event from having an insightful, experienced andpsychologically minded teacher. Yet her ability to call upon the consultant to share the burden of processing thistrauma and to follow the mental healthprofessional’s lead added a furtherdimension to her classroom repertoire,and allowed her to explore new emotionalterritory without major trepidation.

E NG AG I NG PA R E N TS

Coming to know parents in earlychildhood centers is far different than in traditional mental health settings.As mentioned, there are manyopportunities for informal contact, atdrop-off and pick-up times where parentsoften gather to have coffee or chat withneighbors, in the classroom with parentvolunteers and at parent gatherings orworkshops. The consultants may beexpected to join in local debates andshare some details of their own familyand personal life with staff members andparents. Like in therapy, each consultantneeds to come to his or her own limits ofdisclosure, and to assess how these limitsimpact on the relationship with the center.Yet for many mental health professionals,this less confined role can be a welcome

break from the more formal structure of traditional psychotherapy, and givesthem to the opportunity to supportsocial and emotional development in a more normative context.

Often interventions with parents involvebrief targeted interventions aimed atremediating specific fears or anxieties ofchildren in the preschool. In some cases,the consultant may maintain a relationshipwith a parent and the intervention mayfocus on helping the child indirectly,through parent contact and “checkingin” with the teacher:

The Rosens, whose daughter Nancyattended preschool in their suburbantown, had watched their home burn to the ground after some faulty wiringignited a massive fire. The consultantat the preschool, Dr. Douglas, hadheard about the fire, but the teacherand school director reported that Nancy,who was a friendly and confident 4-year-old, was doing well, and did notappear to need the consultant’s help atschool. The family had found a suitablehouse to rent while their home was beingrebuilt, and they all seemed to be copingwell. About one month after the fire,Mrs. Rosen called the consultant, andrelayed that while Nancy “seemed fine”during the daytime, she was having aterrible time falling asleep, insisted on

71

I N S OM E C ASE S , T H E consultant m ay

m aintain a relat ionship w ith a pare nt and

the inter ve ntion m ay foc us on helping the

child indirec t ly, through pare nt contac t and

“checking in” w ith the teacher.

sleeping in her parent’s bed, and wokeup many times during the night.Everyone was exhausted, and Mrs.Rosen felt a mixture of sympathy andanger toward her young daughter.

Mrs. Rosen did not want the consultantto see Nancy directly, but was extremelyeager to talk about how to handle thesleep problem at home. They spokeextensively for the next two weeks, andduring these conversations the consultantprimarily provided a listening ear forMrs. Rosen, as well as making someconcrete recommendations. Theseincluded having Mrs. Rosen and Nancy“play about the fire” using dollhousefigures and puppets, using relaxationtechniques at bedtime, and having oneof Nancy’s parents sit in her bedroom as she fell asleep. Mrs. Rosen used someof the recommendations and chose notto try others, and she remained inphone contact with the consultant overthe next several weeks. Nancy’s sleepdisturbance gradually improved, andshe also was able to talk about theexperience of the fire with more ease.The consultant did not hear from Mrs.Rosen again until later in the spring,when she called to let him know howmuch better things were going at home.

In this example, the parents made use of the consultant in a spontaneous,circumscribed manner, but such briefinterventions often carry meaning thatgoes beyond the immediate situation.Many parents have reported to us asense of reassurance and relief in knowingthat a mental health professional is on-hand “just in case,” to answer questions,listen, and provide an informed opinionwhen necessary. Just as teachers test thewaters with the consultant during theentry period, parents also may try outthe consultant to see if this is a personwho can be trusted, is approachable andhelpful. Even when their encounters arebrief, parents’ positive experiences witha consultant are likely to encouragethem to support the notion of on-sitemental health services, to feel morecomfortable with mental healthprofessionals in general, and to spreadthe word to other parents.

Even when they have become a familiarpresence, the consultants need to beaware of boundary issues in presentingeducational or treatment recommen-dations to parents, as they may notalways be eager to participate and maybe confused by the on-site presence of a mental health specialist. Childrenwho display signs of behavioral oremotional problems in early childhoodcenters have usually not been previouslyidentified as needing services.



Parents who enroll their children innursery schools or child care are notnecessarily seeking support or advicewith these issues, as they would, forinstance, if they voluntarily came to amental health provider on their own.Often the need for more parental inputwill arise when a child’s functioning iscompromised in the classroom, or whenhis or her behavior is disruptive andimpacts on other children. In theseinstances, the centers typically askparents come in and discuss thesituation. Parents are more likely tocomply with this request and react lessdefensively if they have a previousrelationship with the center, and if thestaff and the consultant assume a non-threatening stance in presenting the areasof concern. If there is a healthy rapport,calling parents in for a discussion can bea relatively simple process, and theconsultant may well be welcomed asanother potential problem-solver:

When Ms. Boudreau was asked tocome in to the Little Tots Center todiscuss her son’s separation difficulty,she was not surprised. Ben, a 3-year-old boy who had recently immigratedwith his family from Europe, wastearful and clingy throughout much ofthe morning, and seemed to be reactingin part to his mother’s inconsistencyduring drop off times. She wouldsometimes stay briefly and reassurehim, but at other times would stay forextended periods as he began to cry orshow other signs of distress. In hermeeting with the consultant, he suggestedthat Ben might bring classroom bookshome that she could translate intoFrench, her native language, to helphim feel more comfortable and moreconnected with his peers. The consultingpsychologist advised her to stick to amore consistent pattern in the morning,staying for 10 to 15 minutes to helphim settle and then leaving him in thecare of his teachers. Within two weeks,this combination of a fixed routineand using books as transitionalobjects greatly eased Ben’s partingswith his mother, and he began to moreactively join in classroom activities.

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OF T E N T H E N E E D F OR MOR E pare ntal input

w il l ar is e w he n a chi ld’s f unc tioning is

compromis ed in the c lassroom, or when his

or her behav ior i s disr uptive and impac t s

on other chi ldre n .

The mother in the example was alreadywell disposed towards the school,acknowledged her son’s problems, andwas not threatened or alarmed by thenotion of psychological intervention.The consultant and teacher also hadtime to discuss the issues in advance,and were hopeful that they could worktogether with the child and his mother.At times, children’s classroom difficultiesare presented in a less coordinated andtimely manner, to parents who are lessprepared to hear about them. Theconsultant may be asked to intervenewhen there are strains in the relationshipbetween the parents and the preschool.The goal in these cases is often to improvecommunication and foster a mutualunderstanding between parents and staffas well as respond to the current problem:

Ms. Gonzalez worked as an admin-istrator at a public school pre-kindergarten, and her 4-year-old son,Manny, was enrolled in the program.Manny was an active and rambunctiousboy who was prone to accidents athome and in school. Previous incidentsat the school in which he had sustainedminor cuts and bruises had left hisparents angry and suspicious, andthey believed that Manny’s teachers

were not providing adequatesupervision and did not particularlycare for him. In classroom visits, theconsultant, Dr. Monroe, did not findthat supervision per se was a problem,but he did observe that the teacherswere not comfortable with Mannyand the three or four other activeboys in the class. They ranged frombeing tentative to sometimes beingharsh and overbearing with them.To help the situation, Dr. Monroe had been encouraging the teachers to have more active outdoor playtime,and had himself been trying toorganize ball games for these boys.During one of these, Manny wastackled by two other boys and receiveda fairly serious gash above his lip.He was brought to the nurse whoadministered first aid, and thencontacted Manny’s mother, Ms.Gonzalez, whose office was just downthe hall. Ms. Gonzalez was furiousthat she had not been contacteddirectly by the teachers and by whatshe again perceived to be a lack ofsupervision, as nobody could tell herexactly what had happened.

When informed by the director ofMs. Gonzalez’s upset, Dr. Monroestopped in her office at lunch. Heexplained that he had in fact beensupervising Manny, and that theteachers had not been remiss in theirduty. He also talked at length withMs. Gonzalez about Manny’s highactivity level, and shared ideas abouthow to help him channel some of hisenergy and organize himself both at home and in school. He also



T H E C ON SU LTA N T M AY be asked to

inter ve ne w he n there are strains in the

relat ionship bet wee n the pare nt s and the

pres chool . The go al in thes e cas es i s of te n

to improve communication and foster a

mutu al understanding bet wee n pare nt s

and staf f

encouraged Ms. Gonzalez to sit downwith Manny’s teachers and raise herconcerns directly with them. Shescheduled a meeting for the followingweek and seemed to feel that theteachers heard her concerns. Theremainder of the school year passedwithout any major incident, and theconsultant observed that the teachersseemed more attentive and comfortablewith Manny.

In the above example, a moment ofcrisis turned into an opportunity forthe parents and staff to take stock oftheir relationship and openly air theirdisagreements. Rather than contributeto a lingering resentment by both parties,it forced open the issues between them,helped along by some coaxing by theconsultant. The fact that he wasinvolved in the incident placed himsquarely in the center of the dispute fora brief time. Though in an awkwardposition, he worked hard to not bedefensive with this mother, nor to shyaway from her anger. Being in thisposition also allowed him to share someof the “blame” with the teachers, and tofurther empathize with their dilemmasin dealing with active preschool boys.

INTERVENTIONS WITH CHILDREN

The mental health consultant enters theclassroom wearing many hats. At times,she observes or intervenes with aparticular child or small group of children.After becoming a more familiar presencein the classroom, the consultant maywork with the children as a group tosupport their emotional development or address specific psychological concerns.The consultant and teacher can addressthese issues during free play and otherunplanned interactions, as well as inplanned activities such as circle timediscussion, story telling, puppet anddramatic play. Mealtimes present an excellent opportunity for suchinformal exchanges

Ms. Hardy, a head teacher at a nurseryschool, found that meals were mostefficient when the children wereencouraged to share the preparation,serving and clean-up, keepingconversation to a minimum. Thecenter’s director, however, had recentlysuggested that informal conversingduring meals was an excellentopportunity to support languagedevelopment. The consultant,Ms. Saunders, felt that such groupdiscussions could also supportemotional growth. She felt that thegroup focus during meals was anatural time to help children expressthemselves verbally, articulating theirown feelings while respondingappropriately to the expression ofothers. Ms. Saunders therefore offeredto join the class for meals. The eagerand animated young children lost no

75

time in volunteering to participate in group discussions. Teachers and the consultant typically followed thelead of the children with discussionsemerging that ranged from the smells,sight, taste and feel of the food theywere eating, to events that occurred at home, to reflections on classroomactivities. At times, the consultant did initiate discussion about a topic of some particular relevance to theclassroom, such as feelings about ateacher’s unplanned absence or animpending holiday or vacation.Sometimes the children would begintalks about bad dreams or monsters,or trouble with younger siblings athome. Despite Ms. Hardy’s initialreticence, she soon found that theselittle chats were not only enjoyable toall, but that they improved theatmosphere in the class withoutcausing breakdown in the carefullycultivated structure of the room.

Some teachers express the understandableconcern that the unstructured nature ofmore free-flowing conversation willcontribute to disorder in the classroomand indeed, depending on the content,this can occur. While verbal expression of more negative feelings can, at times,lead to a more expressive, less controlledatmosphere, this short-term consequenceis usually outweighed by the gains inunderstanding and support that occurwhen such themes are opened fordiscussion. Children are, in fact, more

likely to become unruly and disruptivewhen their feelings remain unspoken butcontinue to lurk beneath the surface, andare often notably calmed when given theopportunity to express themselves toadults who listens to them. These groupdiscussions are not meant to be biasedtoward more difficult or painful emotionalcontent – the children are free to expressboth negative and positive thoughts andfeelings. The open sharing of joy,excitement and other warm feelings is an equally important part of establishingan emotionally supportive environmentin the classroom, especially for childrenwho live in more difficult or deprivedhome environments.

In some cases, mental health consultantsalso are available to provide briefassessment and treatment services for thechildren. Some centers are set up to allowthe consultants to provide on-sitetreatment or to work 1:1 with a child inthe classroom. Early childhood teachersoften identify children who could benefitfrom brief, preventive intervention. Themost frequent referrals are for childrenwith behavior problems or those withsymptoms of depression or anxiety.Parents are always contacted and consultedprior to any individual meeting with achild, and always need to be part ofplanning any ongoing interventions.



T H E M E N TA L H E A LT H consultant e nters the

classroom wear ing many hat s .

C H I L DR E N A R E , I N FAC T, more likely to

become unr uly and disr uptive when their

feelings remain unspoken but continue to lurk

beneath the sur face, and are of ten notably

calmed when g iven the oppor tunit y to express

themselves to adults who listens to them.

Ideally, both parent and child getsupport that strengthens their resilienceand improves their relationship witheach other:

Philip, a 4-year-old was referred forbrief treatment after his teachersbecame more aware of his isolation,and self-deprecating remarks andbehaviors. Philip’s mother was depressedand overburdened, and at that time,she was unable to offer much supportto him. She frequently referred to himas “bad” and compared him negativelyto his younger brother, and openlyexpressed a wish to be rid of him. Inthe early phase of treatment, Philipwould repeatedly depict a motherrejecting and killing her son, and thenrunning off with her younger child.

Philip’s therapist openly discussed his mother’s difficulties, but alsoemphasized and attempted to engagehis strengths and skills, particularlyhis keen intelligence. She supportedand facilitated Philip’s creative use of materials and his dramatic andsymbolic play. She also helped histeachers to likewise identify andsupport his strengths and need fornurturance. They readily acceptedthese suggestions and began to applythem to other children in the class as well, focusing on how each was a“special person.”

Work with Philip’s mother was initiallydifficult, as her depression had left herdetached from his feelings as well asher own. She did however, support histreatment and the classroom interven-tions, and gradually began to identifywith the positive view of Philip

communicated to her by his therapistand teachers. After leaving his nurseryschool, Philip was granted a scholarshipto a local parochial school. Proud ofhis achievement, Philip’s mother wasan enthusiastic participant at his“graduation,” and became more activelyinvolved with his schooling thefollowing year.

Some consultants may have opportunitiesto work with children in small groups.Preschool groups can serve a variety ofpurposes: socialization, development ofempathy, and growth of interpersonalskills through play and group discussions.Groups provide another way to reachyoung children whose development maybe negatively affected by stressful lifeevents, reflected in maladaptive behaviorssuch as withdrawal, aggression or hyper-activity. By observing and working withchildren’s issues in the small groupsetting, the therapist can observe andfurther assess social and emotionalproblems identified in the classroom,interpret and address problems in peerrelationships and intervene to improveadjustments to transitions, listening andturn-taking. Often children are identifiedfor a group based on similar experiencesor behavior:

77

S OM E C ON SU LTA N TS M AY have oppor tunities

to work w ith children in small groups.

Preschool groups can ser ve a var iety of

pur poses: socialization, development of

empathy, and growth of inter personal skil ls

through play and group discussions.

In one group of boys attending anurban child care center, the childrenoften played about “fathers.” Theconsultant was aware that in realitymany of the boys’ fathers were absentfrom their lives. They continuallypretended to be truck drivers,construction workers, and dads goingshopping. They used the telephones tomake “calls” to their fathers and oftenassumed self-consciously “macho”roles, which at times included aggressiveor provocative behaviors. The therapistattempted to bring the feelings andthoughts represented by this play intothe verbal arena, making simplecomments such as, “You boys reallythink a lot about your dads,” or “Iwonder if George misses his dad.”These play sequences and narrativecomments eventually stimulated amore direct discussion of the children’sfeelings of disappointment and theirlonging to connect to adult male figures.

Sometimes children respond to theconsultant’s words, elaborating the playor making a revelation about their lives.At other times, words seem to fall on deafears, and the children do not necessarilyrespond to what is said. However, evenwhen children are not yet able to makeuse of interpretations or even simpleinvitations to talk about their lives, theybenefit from the opportunity to play outtheir feelings and issues in the supportivegroup milieu.

C ONC LU SION

A strong preschool/mental healthpartnership can lead to decisive changeand can leave programs with moreeffective tools to meet their children’sneeds (Donahue, 1996; Donahue, Falk & Provet, 2000; Goldman et al, 1997).The shared vision of professionals cangive staff new hope that they can confrontdifficult behaviors and emotionallycharged material in the classroom.Children and families also benefit fromthe combined focus on children’s socialand emotional development and earlyintervention efforts aimed at preventingmore serious problems from developinglater on in childhood. In addition, aneffective mental health collaboration canenhance a program’s resilience, and reducethe stress of staff as they join together toface the day to day challenges of meetingthe educational and emotional needs ofthe young children they serve.



C H I L DR E N A N D FA M I L I E S also benefit f rom

the combined focus on children’s social and

emotional development and early intervention

effor ts aimed at preventing more ser ious

problems from developing later on in childhood.

R E F E R E NC E S

Aber, J. L. & Allen, J. P. (1987). Effects of maltreatmenton children’s socioemotional development: Anattachment theory perspective. DevelopmentalPsychology, 23, 406-414.

Cohen, P., Provet, A. & Jones, M. (1996). The prevalenceof emotional and behavioral disorders in childhood andadolescence. In B. Levin & J. Petrila (Eds.). Mentalhealth services: A public health perspective.

Donahue, P., Falk, B., & Provet, A.(2000). Mental HealthConsultation in Early Childhood. Baltimore: Paul H.Brookes Publishing Co.

Donahue, P. J. (1996). The treatment of homelesschildren and families: Integrating mental health services into a Head Start model. In Zelman, A. (Ed.)Early intervention with high-risk children. Northvale, NJ:Jason Aronson.

Dubow, E. F., Roecker, C. E. & D’Imperio, R. (2001).Mental health. In R. T. Ammerman & M. Hershon(Ed.). Handbook of prevention and treatment withchildren and adolescents: Intervention in the real worldcontext. New York: John Wiley.

Goldman, R.K., Botkin, M.J., Tokunaga, H. & Kuklinski,M. (1997). Teacher consultation: Impact on teachers’effectiveness and students’ cognitive competence andachievement. American Journal of Orthopsychiatry, 67,374-384.

Hyson, M. C. (1994). The emotional development of young children: Building an emotion-centeredcurriculum. New York: Teachers College Press.

Knitzer, J. (1996). Meeting the mental health needs of young children and their families. In Stroul, B. A.(Ed.), Children’s Mental Health: Creating systems ofcare in a changing society. Baltimore: Paul H. BrookesPublishing Co.

Koplow, L. (1996). Unsmiling faces: How preschools can heal. New York: Teachers College Press. In Poverty,(1990). Five million children. New York.

Pynoos, R.S. & Eth, S. (1986). of Child Psychiatry, 25,306-319. Witness to violence: The child interview.Journal of the American Academy of Child Psychiatry, 25,306-319.

Rutter, M. & Quintin, D. (1977). Psychiatric Disorder:Ecological factors and concepts in causation. In M.McGurk, H. (Ed.), Ecological factors in humandevelopment. New York: North Holland.

Tobias, L. T. (1990). Psychological consulting tomanagement: A clinician’s perspective. New York:Bruner Mazel Inc.

Werner, E. (1989). High-risk children in youngadulthood: A longitudinal study from birth to 32 years. American Journal of Orthopsychiatry, 59, 72-81.

Yoshikawa,Y. and Knitzer, J. (1997). Lessons from thefield: Head Start mental health strategies to meetchanging needs. New York: National Center for Childrenin Poverty.

Zero to Three. (1994). Caring for infants and toddlers in violent environments: Hurt, healing, and hope.Arlington,VA: Zero to Three/National Center forClinical Infant Programs.

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P R O M O T I N G S O C I A L - E M O T I O N A L

D E V E L O P M E N T I N Y O U N G C H I L D R E N :P R O M I S I N G A P P R O A C H E S A T T H E N A T I O N A L ,

S T A T E A N D C O M M U N I T Y L E V E L S

R O X A N E K A U F M A N N , M . A .D E B O R A H F . P E R R Y , P H . D .

R AT IONA L E F OR NAT IONA L ,STAT E A N D LO C A L I N I T I AT I V E S

Over the last decade, there has beengrowing awareness of the scientificevidence that effective interventionsdelivered to young children and theirfamilies can have long-term positiveoutcomes (National Research Counciland the Institute of Medicine, 2000).Research on early brain developmentbolsters intervention studies that suggestthat small shifts in the developmentaltrajectories of young children can havelasting effects. Increasingly, these studieshave used rigorous scientific designs,such as randomized trials (e.g., the InfantHealth and Development Program) andlongitudinal studies of populations atrisk (e.g., Chicago Parent-Child Center).These results have motivatedpolicymakers and program managers to identify vulnerable groups of youngchildren and seek out effective strategiesthat can be delivered to these childrenand their families.

At the same time, more and more youngchildren in this country are spendinglonger days in child care settings. Sixtypercent of women whose children areunder the age of three are participatingin the work force (Phillips & Adams,2001). Data from the National Instituteof Child Health and Human Development(NICHD) Study of Early Child Care —a nationally representative sample of1,200 families — provide a snapshot ofwhat the child care implications of theseemployment trends. In their sample,nearly three quarters of all infants underthe age of 1 experienced regular, non-parental care; often their entry into childcare occurred prior to 4 months of age.Women who had experienced periodsof poverty and/or welfare dependenceplaced their infants in care prior to 3months of age, as compared to women


Promoting Social-Emotional De velopment in Young Children: Promising Approaches at the National , State and Communit y Le vels

T H E R E SE A RC H I S C L E A R : child care af fec t s

childre n’s de velopme nt ; but it is the qu alit y

of care , not the amount of hours spe nt in

child care.

Roxane Kaufmann, M.A.

Deborah F. Perry, Ph.D.

Georgetown University Child

Development Center

3307 M Street N.W., Suite 401

Washington, DC 20007

phone: 202-687-5072

[email protected]


with more financial resources whotypically waited longer to begin non-parental care. Infants were in non-parentalcare and average of 28 hours per week;and these figures tend to increase aschildren get older (Phillips & Adams,2001). The research is clear: child careaffects children’s development; but it isthe quality of care, not the amount ofhours spent in child care. Unfortunately,high-quality infant care is out of theeconomic reach of many of the familieswho need it most — those families whoare poor, lacking in maternal educationand exposed to other risk factors forpoor developmental outcomes.

In recognition of many of these trends,the nation’s governors embarked on aseries of initiatives that focused on youngchildren and their families (McCart &Steif, 1995; Steubbins, 1998).As governorsgrappled with how best to prepare childrenwho arrive at kindergarten “ready tolearn,” there was a growing realizationthat achieving this goal would requiremore than increased cognitive stimulationfor our youngest citizens. In fact, schoolreadiness appears to be intimately tied tosocial-emotional development. Whenteachers report that between one-quarterand one-third of their preschoolers arenot ready to succeed in school, often it is because of a lack of behavioral andemotional maturity rather than notknowing their numbers and letters(Knitzer, 2000).

States have also faced challenges as theyhave continued to implement earlyintervention programs for young childrenwith disabilities and those at risk fordeveloping disabilities under theIndividuals with Disabilities EducationAct. As early intervention systems havedeveloped and matured across thenation, state program managers havebegun to confront the need to go beyondtraditional center-based, therapeuticapproaches (i.e., occupational, speechand/or physical therapy). Especially instates where they are serving children at risk for developing delays, the need to expand services to include social-emotional outcomes and relationship-based services has come to the fore(Indiana Family and Social ServicesAdministration, 2001).

These national trends converge incommunities across the country. Parentswho are working harder and longerhours are searching for high-qualitychild care environments for their youngchildren. Child care providers arereporting increasing numbers ofyoungsters who are at-risk for removalfrom their care because of behavioraland/or social-emotional challenges.Kindergarten teachers are reportinghigh numbers of children entering

81

AS G OV E R NOR S G R A P P L E D w ith how best to

prepare chi ldre n w ho ar r ive at kindergar te n

“ready to lear n ,” there was a g row ing

reali z at ion that achie v ing thi s go al would

require more than inc reas ed cog nit ive

st imulation for our youngest c it i ze ns .

Child care prov iders are repor t ing

inc reasing numbers of youngsters w ho are

at - r isk for re moval f rom the ir care becaus e

of behav ioral and / or s oc i al - e motional

chal le nges . Kindergar te n teachers are

repor t ing high numbers of chi ldre n e nter ing

s chool not ready to succeed .

school not ready to succeed. National,state and local stakeholders are comingtogether to develop promising approachesto meet these needs and promote positivemental health for young children andtheir families.

SUM M A R I E S OF PROM I SI NGA P PROAC H E S

Given the overwhelming interest in earlychildhood mental health that hasburgeoned over the past five years, it isdifficult to select only a few national,state and community efforts to includein this paper. That such difficulty existsat all is a promising indicator of changeand growth in the field. Only a handfulof early childhood mental health initiativeshave a history that extends beyond themid-1990s and these examples providesome important lessons for a field that isstill in its own toddlerhood. At thenational level, Head Start has a long-standing commitment to a comprehensiveview of early childhood developmentthat includes mental health outcomes asan explicit part of their health component.At the state level, Michigan has had along-standing commitment to infantmental health and relationship-basedinterventions. And in Cleveland, Ohio,the PEP program has been servingpreschool children with significantemotional and behavioral problems for nearly 20 years.

For this paper, we have selected someexamples of programs with long historiesand some that are more recent in theirinception to highlight the range of differentapproaches that states and localities havetaken to promote early childhood mental

health. National initiatives describedinclude Early Head Start and StartingEarly Starting Smart. State examplesinclude Vermont’s system of care develop-ment for young children and their families,Florida’s strategic planning and billingprocesses and Maryland’s initiative toinfuse mental health prevention,promotion and treatment into their early childhood systems. Ohio’s state-level activities to support early childhoodmental health as well as Cleveland’ssuccessful community-wide,comprehensive program will be described.And finally, San Francisco’s creative useof TANF and state tobacco funds to fundmental health consultation to child carewill be shared.

NAT IONA L I N I T I AT I V E S

E A R LY H E A D S TA RT. Building upon the success of Head Start in providingcomprehensive child developmentservices to more than 18 million low-income children since 1965, the Federalgovernment added a new program tomeet the needs of America’s youngestcitizens. The 1994 reauthorization ofthe Head Start program was motivatedby the growing evidence of theimportance of the first three years of lifeand expanded the program to pregnantwomen and families with infants andtoddlers. Today, Early Head Start servesmore than 55,000 children across thecountry through flexible, community-based services including home visits,child development, health (includingmental health), disability and nutritionservices (Fenichel & Mann, 2001).Head Start Performance Standardsprovide guidance on addressing a



continuum of mental health needs —from promotion to intervention —through ongoing communicationbetween families and staff, communitycollaboration for appropriate servicedelivery and the provision of on-sitemental health consultation.

Early Head Start’s infrastructure, trainingand technical assistance, evaluation andresearch acknowledges the primacy ofhealthy, reciprocal, nurturing relationshipsbetween infant and caregiver asfundamental to later success in schooland life. At the program level, however,it is often difficult to create the kind ofenvironment and community linkagesthat assure success in meeting thebehavioral health needs of infants,toddlers, their families, and the staffwho serve them (Chazen-Cohen, Jerald,and Stark, 2001).

Several programs across the countryhave taken a proactive approachintegrating mental health practices intothe daily routines of staff, children andfamilies, and can serve as models forother programs to emulate. One suchEarly Head Start grantee, a communitymental health center in Ohio, hascontracted with a local university toprovide intensive training on infantmental health for all staff members —

home visitors, supervisors andadministrators. Ongoing reflectivesupervision of staff, using a caseconferencing approach, is an integralcomponent of the program. The EHSdirector reports that the staff feels verysupported in their work with infants andfamilies and that staff turnover, a severeproblem in Head Start and child careprograms, has been lessened.

Recently, the Administration onChildren,Youth and Families (ACYF)convened a forum on infant mentalhealth that brought together more than140 stakeholders involved with EHS.Through presentations by anddiscussions with nationally recognizedclinicians, practitioners, parents,researchers, and federal and foundationofficials, consensus was reached on anaction agenda that will guide the nextphases of the work on infant mentalhealth in EHS. There was widespreadacknowledgement that EHS and childcare alone cannot provide the range ofsupports and services needed to meetthe varied needs of infants/toddlers andtheir families. Programs must partnerwith other community agencies as wellas state and local officials to build systemsof care for these families. ACYF recentlyfunded new technical assistance and

83

TODAY, E A R LY H E A D STA RT serves morethan 55,000 children across the countrythrough flexible, community-based servicesincluding home visits, child development,health (including mental health), disabilityand nutrition services.

SEV E R A L PRO G R A M S ac ross the countr y

have take n a pro ac t ive appro ach

integ rating me ntal health prac t ices into

the d aily routines of staf f, childre n and

families , and can be s er ve as models for

other prog rams to e mulate.

training initiatives at ZERO TO THREE and the Center on the Socialand Emotional Foundations for EarlyLearning, at the University of Illinois, tofocus on promoting early mental healthin EHS, Head Start and child care.

STA RT I NG E A R LY STA RT I NG SM A RT.

The Substance Abuse and Mental HealthServices Administration (SAMHSA),in partnership with the Casey FamilyFoundation, has funded a rigorousmulti-site research and demonstrationeffort — referred to as Starting EarlyStarting Smart (SESS). The emphasis inSESS is on the integration of behavioralhealth services into accessible, non-threatening settings where familiesnaturally take their children. The currentSESS sites serve children and families inearly childhood educational settings andin primary pediatric health care facilities.Primary care sites are located in Boston,MA, Albuquerque, NM, Spokane WA,Miami, FL and Boone County, MO.Early childhood education sites arelocated in San Francisco, CA, Little RockAR, Las Vegas. Baltimore MD,Montgomery County, MD, Chicago, IL,and the Tulalip Tribes, WA.

Children and families are served in therural, urban and suburban neighbor-hoods in which they live throughservices that are integrated, accessible,and culturally competent. The design of the model encourages creativeapproaches that meet the unique needsof the population being served. Forexample, in one community a nativeelder, a storyteller in the tribe, worksweekly with children in the preschool tohelp them deal with their fears, build asense of identity and connect to theirheritage through traditional stories.



PRO G R A M S M U ST PA RT N E R w ith other

communit y agenc ies as wel l as state and

local of f ic i als to build s yste ms of c are for

thes e families .

T H E E M PH ASI S I N Star t ing E arly Star t ing

Sm ar t i s on the integ ration of behav ioral

health s er v ices into accessible , non -

threate ning s et t ings w here families

natural ly take their chi ldren.

SESS has a strong steering committeemade up of the Principal Investigatorsand Coordinators from each site, familymembers, the Data Coordinating Centerwhich is responsible for the cross-siteresearch, federal partners and CaseyFamily Foundation representatives. Thequality of family participation becameenhanced later in the project whenSAMHSA and Casey contracted withthe Federation for Children’s MentalHealth. The role of this committee wasto design the cross-site evaluation,review and select instruments, sharestrategies, solve problems, explainfindings, author articles, makepresentations and guide the organicnature of a field-based, early intervention,research and demonstration program.

Recognizing that fragmentation of servicesand agencies and the lack of culturally,linguistically and developmentallyappropriate services often keep familiesfrom accessing needed services, SESSbroadly focused on the following goals:

• increasing access and utilization of services;

• promoting collaboration at thecommunity level to promote services integration;

• improving parenting skills and family well-being; and

• strengthening child development.

The types of services that were created,adapted, or accessed were tied togetherthrough care coordination of servicesand supports that were “wrapped around”families through the development of astrengths-based, family participatoryprocess (Hanson, Deere, Lee, Lewin, andSeval, 2001). Intervention services include:child development services, family/parenting services, mental health servicesand substance abuse treatment services.

Unique approaches led to successes ineach of the sites. For example, connectingfamilies to mental health services hadbeen very difficult in San Francisco’sChina Town. So the SESS site hired and trained cultural brokers who spokethe languages of the families served,understood their beliefs and values, anddeveloped trusting relationships withthem. These trusted brokers acted as care coordinators, helping families feelcomfortable using needed services. Inanother location, a small group of motherswith newborn infants came togetherwith their babies to create baby-bookswhile dealing with their guilt and strugglesaround substance abuse. The typicalactivity helped the mothers identify andappreciate their infant’s unique character-istics while they dealt with the past andlooked hopefully to the future.

85

T H E T Y PE S OF SE RV IC E S that were c reated ,

ad apted , or access ed were t ied together

through care coordination of ser v ices and

suppor t s that were “w rapped around”

families through the de velopme nt of a

strengths-based, family participator y process.

STAT E A N D LO C A L I N I T I AT I V E S

VERMONT. At present, Vermont is theonly state that has built a statewide systemof mental health services and supports,integrated into the early childhood-servingsystem. The impetus for their effortscame from a survey that showed 30% of the state’s young children lacked theemotional and other skills to succeed in school. At the same time anecdotalreports of children exhibiting increasinglydisturbing behaviors prompted the stateto take action. They used these data to obtain funding for the Children’sUpstream Project (CUPS), from thefederal Children’s Mental Health ServicesProgram, and from SAMHSA. CUPSbuilt on the existing network of state and regional teams focused on otherearly childhood issues (i.e., qualityimprovement, shared standards acrossearly childhood settings, and Vermont’shome visiting program for all newborninfants). Included in these partnershipsare mental health, substance abuse,domestic violence, and public healthagencies. This initiative stretches boththe early childhood and the mentalhealth “vision” of who needs to cometogether to share responsibility forpromoting the well-being of youngchildren (Knitzer, 2000).

At the local level, services are developedto be responsive to the unique needs that emerge in each community. Whenfamilies’ mental health needs exceed theprofessional expertise of a nurse, mentalhealth providers conduct home visits.Mental health consultation is providedas needed to child care, Head Start andpreschool programs. And a growingnumber of play group and parent-to-parent support groups have mental healthfacilitators. Several communities havemental health personnel stationed inpediatrician’s offices to screen childrenand to provide guidance to families whohave concerns about social and emotionalissues. For young children identified ashaving significant mental health needs,“wrap around” individualized servicesare provided to the family.

For example, a child care provider wasconcerned about the withdrawn behaviorof a 3-year-old in her class and referredthe young mother to CUPS. The child’smental health practicioner met with thefamily and quickly suspected that themother was struggling with severedepression and referred her to a colleaguefor treatment. At first, the mother onlywanted services for her daughter, but overtime, as a result of the trusting relationshipwith the child’s mental health worker(who became the family’s servicecoordinator), she agreed to get help forherself. The mother attributes the tenacityand support of the service coordinatorwith saving her family.



V E R MON T I S T H E ON LY STAT E that has

built a state w ide syste m of me ntal health

s er v ices and suppor t s , integ rated into the

early chi ld - s er v ing syste m .

At the state level CUPS has convened atask force on sustainability and blendedfunding, developed early childhoodmental health competencies for providers,and funded a consortium of colleges anduniversities to provide training on earlychildhood mental health to local providersand family members. The state is workingwith existing parent support andeducation groups to infuse mental healthissues into their services. Emergencymental health crisis teams have beentrained to address the needs of familiesand providers of young children.A separate evaluation is tracking theoutcomes of the CUPS initiative.

F LOR I DA . With more than one millionchildren under age 5, Florida struggleswith meeting these children’s needs forhealth, safety and emotional well-being.As in many states, there are a dearth ofearly services, inadequate funding and alack of qualified staff. To address theseissues, Florida engaged in a statewidestrategic planning process to build asystem of mental health services for youngchildren and their families (Florida StateUniversity Center for Prevention andEarly Intervention Policy, 2000). Thestakeholders came to consensus on acontinuum of services that includes:

• prevention services that promoteresponsive caregiving and strengthenthe child/caregiver relationship (level one);

• services that provide developmental,relationship-focused early interventionservices for children at risk of or withdelays, disabilities, chronic healthproblems, exposure to violence andabuse or neglect (level two); and

• services that provide specialized mentalhealth treatment for severe emotionalproblems or parent/baby dyads withspecific needs (level three).

Following the successful planning process,the Florida legislature funded three pilotprojects to provide infant mental healthservices through different points of entry.In addition to the comprehensive planthat provides a model for other states toemulate, Florida has updated its mentalhealth services coverage.Medicaid guidancenow allows for individual or family therapy,allowing for relationship-based treatment;licensed practitioners can enroll as treatingproviders and authorize services on arecipient’s treatment plan; and a sectionon serving children birth to 5 years wasadded to the State plan. In a precedent-setting move, the new guidance specifically cites the use of the DiagnosticClassification of Mental Health andDevelopment Disorders of Infancy andEarly Childhood (DC: 0-3) diagnosticcodes (Johnson, 2001).

87

F LOR I DA E NG AG E D I N a state w ide strateg ic

planning process to build a syste m of

me ntal health s er v ices for young chi ldre n

and the ir families .

F OL LOW I NG T H E SU C C E S SF U L planning

process , the Flor id a leg islature f unded three

pilot projec t s to prov ide infant me ntal health

s er v ices through dif fere nt p oint s of e nt r y.

M A RY L A N D. Historically, counties in the state of Maryland have a great deal of autonomy. During the last decade thestate made a commitment to reformingtheir child-serving systems, and countygovernance structures called LocalManagement Boards were established as forums to promote collaboration andcoordination of services for children and families. Local Management Boards(LMBs) are the vehicles through whichlocal responses to service needs ofchildren residing in each jurisdiction aredeveloped. Currently, there are a numberof LMBs that have identified earlychildhood mental health as a priorityarea and there are initiatives fundedthrough a combination of county dollars,private funds and state/federal grantawards. For example, Baltimore City was one of the SESS sites, successfullyintegrating an on-site mental healthcollaboration project that is beingsustained by the city’s children’s mentalhealth agency. Anne Arundel Countyfunds two behavioral interventionistswho consult to all childcare providers ona first-come-first-serve basis in an effortto keep children from being expelledfrom child care. Part C and Section 619special education discretionary dollarshave been used to fund a mental healthconsultant in a public preschool and

kindergarten in rural Allegheny County,and mental health consultation is availablethrough the Infants and Toddlers Programin Montgomery County.

In an effort to develop a more systematicapproach to ensuring that appropriatemental health services and supports wereavailable to young children and theirfamilies across the state, the Departmentof Mental Health and Mental Hygieneinitiated a statewide planning andimplementation process. Following the recommendations developed at astrategic planning retreat in 1999, a statesteering committee was established. Thegroup is co-chaired by the Departmentsof Mental Health and Education withactive participation from a variety ofstakeholders including the Governor’sOffice for Children, Youth and Families,child care and Head Start programs,resource and referral agencies, familyorganizations, Departments of HumanResources and Juvenile Justice, LocalManagement Boards and practitioners.The mission of the Early ChildhoodMental Health Steering Committee is todevelop strategies to infuse mental healthprevention, promotion and treatmentservices and supports into existing early childhood programs, settings and initiatives.

The Steering Committee initiallyidentified five goals:

• To understand the current system of care by assessing current needs,resources, and gaps in mental health services to young childrenand families;



A N N E A RU N DE L C OU N T Y F U N D S t wo

behav ioral inter ventionist s w ho consult

to al l chi ld care prov iders on a f irst - come -

first-ser ve basis in an effor t to keep children

f rom be ing ex pel led f rom child care.

89

A MODE L DE MON ST R AT ION projec t f unded b y

the O hio State D epar tme nt of Me ntal Health

encourages local col laboratives or prog rams

to apply for competit ive awards to prov ide

me ntal health consultat ion to chi ld care ,

Head Star t and other pres chool prog rams

ac ross the state.

• To develop and advocate for anintegrated early childhood mentalhealth system of care, includingspecific elements which will beidentified, defined and developed;

• To develop and implement acurriculum/training/certificationprocess for early childhood/familymental health professionals that isearly childhood specific with itsfoundation in child development and mental health;

• To develop a consumer input andfamily feedback system to inform thesteering committee and the servicedelivery system; and

• To design and offer mental healthconsultation to recognize mentalhealth issues to all early childhoodservice settings in Maryland,including consultation to familiesand service providers.

During the first year, subcommitteeswere established to work on the first twogoals (i.e., a Needs AssessmentSubcommittee and a System of CareSubcommittee, respectively). As a result,there is an agreed-to vision of what asystem of care to promote early childhoodmental health would look like inMaryland. This vision informed thework of the Needs AssessmentSubcommittee. A consultant has beenidentified and funding from threepartner agencies has been committed tocomplete a statewide assessment of theneed for and capacity to deliver earlychildhood mental health services andsupports in each county. Recently,subcommittees were also established toexamine the current array of in-service

and pre-service training opportunitiesacross the state to enhance the quality of provider’s skills at all levels. There is a great deal of interest in this issue in theMaryland legislature and several hearingshave occurred. Legislation is being draftedthat would provide counties with somestate funding to support expansion totheir early childhood mental healthservices and supports.

OH IO A N D C U YA HO G A C OU N T Y. Ohiohas a long history of investing in earlychildhood education and support, and is one of a few states that is providingpublic preschool for all at-risk 4-year-old children. Several state agencies havecollaborated to address the area of earlychildhood mental health, including theGovernor’s Office. TANF funds are usedto provide mental wellness programs forinfants and their parents — includingprinted information on social-emotionaldevelopment that is sent to all families ofnewborn children. A public awarenesscampaign in partnership with publictelevision provides families with accessto developmental information on cableand public broadcasting. An investmentin training for child care providers assureshigher-quality environments for youngchildren and staff who understand thesocial and emotional development ofyoung children.

A model demonstration project fundedby the Ohio State Department of MentalHealth encourages local collaboratives orprograms to apply for competitive awardsto provide mental health consultation tochild care, Head Start and other preschoolprograms across the state. To assure thatmental health clinicians have the skills todeliver consultative services, the state hasinvested in ongoing staff training. Dataare being collected on the effectiveness ofservices, with the goal of expanding themodel statewide. The state also investedin funding local early childhood homevisitation programs that promote mentalhealth and reduce child abuse.

One of the community agencies thatprovide both mental health consultationand home visiting is the Parent Inter-vention Centers of the Positive EducationProgram (PEP) located in CuyahogaCounty (where Cleveland is located).PEP is a highly respected, parent-drivenearly intervention program for the mostchallenged and challenging children and their families. The goal is to empowerparents to work effectively with theirchildren. Families are paired with a“graduate parent” who is the facilitator of sessions between parents and theirchildren. Problem behaviors are targeted,an individualized treatment plan iscollaboratively developed, and servicesare provided in ways that help the family— at home and in the community.Sessions are observed and supervised bymental health professionals.

PEP expanded its array of services toinclude Day Care Plus, a collaborativeeffort between the PEP, the CuyahogaMental Health Board and a local childcare resource and referral agency.Day Care Plus provides mental healthconsultation teams (made up of mentalhealth consultants and family advocates)to more than 30 family and center-basedchild care programs in Cleveland. Theexplicit goals are to maintain youngchildren with challenging behaviors intheir existing child care settings, and toincrease the competencies of child carestaff (in order to improve the quality of the program, reduce staff stress and,ultimately, staff turnover). In addition to center-based consultation, aCommunity Response Team has beenadded to provide crisis intervention and consultation.



S A N F R A NC I S C O. In 1999, the SanFrancisco Departments of Public Health,Human Services, and Children, Youthand Families pooled more than $2 millionto provide mental health consultationservices to more than 50 child care centersand more than 100 family child carehomes within San Francisco. Funds comefrom a combination of Medical, TANFand local funds to Community MentalHealth Services, Department of Health,which manages the initiative. Servicesare provided by a variety of granteeagencies with experience serving childrenand families from a wide range of ethnicand racial groups.

The consultation services are bothindividual/direct (i.e., services provided directly to child or family) or programmatic/indirect (i.e., servicesthat enable staff at the child care center or home to understand and handle asituation on their own). Direct servicesrange from individual therapy, playgroups, behavioral plans, assessment,parent groups or crisis intervention.Indirect services address communicationissues between staff members or staffand families, leadership issues, racial and cultural conflicts, and staff andfamily education about mental health.

IMPACT OF PROMISING PRACTICES

While there has been tremendous growthin efforts to promote early childhoodmental health over the last decade, effortsto rigorously assess the impact of theseactivities are less well developed. It shouldbe noted that, as a field, we face someinherent difficulties in evaluating theimpact of these initiatives. Some of thesebarriers include limited funding availablefor evaluations, difficulties in establishingappropriate comparison groups, warinesson the part of community-based providersabout random assignment of high-riskclients, and a lack of well-establishedmeasures for assessing early childhoodmental health (versus behavior problems).Some of the efforts described above haveattempted to overcome these challengesand document the effectiveness oftheir interventions.

91

I N 1 9 9 9 , T H E S A N F R A NC I S C O D ep ar tme nt s

of Public Health , Hum an Ser v ices , and

Childre n , Youth and Families pooled more

than $ 2 mil lion to prov ide me ntal health

consultation s er v ices to more than 5 0 chi ld

c are ce nters and more than 1 0 0 family chi ld

care homes w ithin S an Franc is co. AS A F I E L D, W E FAC E S OM E inhere nt

dif f ic ult ies in e valu at ing the imp ac t of thes e

init i at ives . B ar r iers include limited f unding

for e valu ations , dif f ic ult ies in establishing

appropr i ate compar is on g roups , war iness of

communit y - bas ed prov iders about random

assig nment of high - r isk c lie nt s , and a lack

of wel l - established measures for ass essing

early chi ldhood me ntal health ( versus

behav ior problems ) .

• E A R LY H E A D STA RT (EHS) has builtinto the initiative a rigorous nationalevaluation that is collecting qualitativeand quantitative data. The first wave of data reported on the efforts of 17grantees during their first two years of operation. When compared to arandomly assigned control groups,toddlers who had participated in EHSfor at least one year scored higher on cognitive, language and social-emotional measures. Parents whoparticipated also showed improvementsin their knowledge of infant/toddlerdevelopment, positive parentingbehavior and decreases in theirparenting stress and family conflict.These positive findings were also tied to the quality of the program’simplementation — families did betterin those sites that scored high on thecore components of the Head StartProgram Performance Standards(Fenichel & Mann, 2001).

• STA RT I NG E A R LY STA RT I NG SM A RT

(SESS) also included a rigorous cross-site external evaluation as part of itsimplementation. This 12-site study isguided by two research questions:

(1) Will integrating behavioral healthservices into primary/early childhoodcare settings lead to higher rates ofentry into prevention, early interventionor treatment services?

(2) Will integrating these services leadto sustained improvements in theoutcomes of participating children and families?

Service use and outcomes will becompared for those families at interven-tion sites and control sites. Childdomains such as attachment, behavioralcompetence, social competence andlanguage and cognitive developmentare being measured as are parent and caregiver behaviors, skills andfunctioning. Preliminary data from thecross-site study are due to be released inNovember 2001 (Hanson, Deere, Lee,Lewin & Seval, 2001).

• VERMONT has a three-tiered approachto evaluating CUPS.At the federal level,the Center for Mental Health Services(through its contract with MACROInternational) is collecting child andfamily data from all its grantees. Tosupplement the federal evaluation, theState Evaluation Team is collecting dataon two vulnerable populations:

(1) children under 6 who areexperiencing severe emotionaldisturbance (SED) and requireservices from more than oneagency; and



T H E STA RT I NG E A R LY Star t ing Sm ar t study

is g uided b y t wo res earch quest ions :

( 1 ) Wil l integ rating beh av ioral health

s er v ices into pr im ar y / early chi ldhood

care s et t ings lead to higher rates of entr y

into pre ve ntion , early inter ve ntion or

t reat me nt s er v ices ?

( 2 ) Wil l integ rating thes e s er v ices lead

to sustained improve me nt s in the outcomes

of par t ic ipating chi ldre n and families ?

(2) adolescent parents (under the age of22) who are experiencing SED andare served by more than one agency.

Finally, local grantees are able to collectsite-specific evaluation data with supportfrom the State Evaluation Team. Specificevaluation results (as of 12/2000) supportthe program’s positive impact on youngchildren and families. As a result of theCUPS project, more than 1,000 childrenand their families received case manage-ment, home-based services, respitecrisis outreach or other direct services.Of the families who were referred for aCUPS evaluation, 80% had very highlevels of parenting stress (as measuredby the Parenting Stress Index (PSI)).Nearly one-third of parents describedaggressive behavior as their primaryconcern about their child, and one-quarter identified temper tantrums astheir biggest concern. After six-months,significant decreases in parenting stresswere observed in 10 of the 13 sub-scalesof the PSI. Significant decreases inchildren’s problem behaviors were alsoevidenced by lower scores on both theexternalizing and internalizing subscalesof the Child Behavior Checklist.

• P O SI T I V E E DU C AT ION PRO G R A M

(PEP) and Day Care Plus have designeda research study to examine the effectsof their mental health consultationprogram. Twenty child care centerswere matched on demographicparameters and one member of eachpair was randomly selected to receivethe intervention. Baseline data onchildren, parents and staff were collectedin 1997 and follow-up data werecollected 12 and 20 months later.One of the dimensions that the study is tracking is the rate of expulsionsfrom child care settings at the controland intervention sites. Parents and staff will be assessed on their ability to manage difficult behaviors and linkwith appropriate community resources.Another potential impact of theconsultation — reduction in staffburnout, stress, and turnover — willalso be compared across sites (Cohen& Kaufmann, 2000).

Impressive evaluation results have been reported for the second year ofthe project’s implementation. Day Care Plus services were accessed onbehalf of 270 children served in 83child care centers. Only 11 childrenwho were at risk for expulsion wereactually removed from their child care placement; five of those 11 werewithdrawn by their parents. Day CarePlus provided a range of services tosupport the child care providersincluding on-site consultation, acoordinated arts program, and one-on-one aides. Parents were also thedirect beneficiaries through individualmeetings and group training sessions(Positive Education Program, 2001).

93

E IG H T Y PE RC E N T OF the families w ho were

refer red for a C U P S e valu at ion h a d ver y

high le vels of pare nting stress ( a s measured

b y the Pare nting Stress Index [ P SI ] ) .

Af ter s i x - months , s ig nif ic ant dec reas es in

p are nting stress were obs er ved in 1 0 of the

1 3 sub - s c ales of the P SI . Sig nif icant

dec reas es in chi ldre n’s proble m behav iors

were als o e v ide nced b y lower s cores on

both the ex ter nali z ing and inter nali z ing

subs cales of the Child B ehav ior Checklist .

• S A N F R A NC I S C O reported on theirresults of a year-and-a-half externalevaluation of their High QualityChild Care Initiative (Tymminski,2001). The primary focus of theevaluation was to determine whethermental health consultation hadsignificantly affected the quality of thechild care delivered in the eight sites,staff job satisfaction, and/or social-emotional behaviors in young children.Half of the items from the EarlyChildhood Environments Rating Scale(ECERS) were administered at all ofthe sites as a measure of program quality;items selected focused on characteristicsof relationships between staff andchildren, parents and staff, etc. Thesequality indicators did not change as aresult of the consultation. Job satisfactionamong staff at these centers was high at baseline and remained high. Theintervention appeared to have positiveeffects on the children served; at baseline,the children exhibited on average a 20-month lag in social skills as measuredby the Vineland Adaptive BehaviorSkills, but after the intervention, thisgroup had only a nine-month delay.Unfortunately, the evaluation designdid not include data collected from agroup of similar children who had notreceived the intervention against whichthese developmental changes could becompared. Other findings pointed to a greater effect from child-specific(versus program-focused) interventionsand good effectiveness from grouptherapy approaches.

I M P L IC AT ION S F OR NAT IONA L ,STAT E A N D LO C A L P OL IC Y A N D PR AC T IC E

The increase in activities at the national,state and local levels designed to promotesocial and emotional development inyoung children appears to be havingsome of the desired effects. In order tobroaden and sustain early childhoodmental health services and supportsacross this country, there are a number of implications for policymakers andpractitioners who are committed tohelping the next generation prepare to succeed in school.

• There is a need to focus on theprimacy of relationships in fosteringearly childhood mental health andacknowledge the inherent complexityof working with young children (andtheir families), especially those athighest risk. Families’ cultural norms,beliefs and values intimately affectthese relationships.



T H E I N T E RV E N T ION A P PE A R E D to have

posit ive e f fec t s on the chi ldren ser ved ;

at baseline, the children exhibited on average

a 2 0 - month lag in s oc i al ski l l s as measured

b y the Vineland Ad aptive B ehav ior Ski l l s ;

but af ter the inter ve ntion , this g roup had

only a nine - month delay.

• Growing diversity in the U.S. populationrequires people involved at all levels(e.g., program designers, managersand front line staff) to improve theircultural competency. This requires a commitment to training existingpersonnel as well as recruiting membersof cultural groups to be a part ofthese initiatives.

• Strategies to reach populations that are at highest risk for poor social-emotional development must betailored to meet their unique needs(i.e., young children of mothersinvolved with welfare reform, youngchildren with disabilities and thoseinvolved in the child welfare system).

• There is an urgent need to identify and train a cadre of mental healthprofessionals who understand theunique developmental challenges ofchildren, ages birth to 5, and can serveas consultants to early childhoodprofessionals. There is a concomitantneed to better equip early childhoodprofessionals to meet behavioral andemotional needs of young children intheir care, one component of this israising the overall quality of child careprovided across the country.

• The early childhood service system is a complex mix of programs, agencies,providers, and initiatives, often poorlyfunded, and without a consistentcoordinating mechanism at the stateand local levels.A first step in developingan integrated early childhood mentalhealth system is the need for infra-structure development. Key stakeholdersacross agencies and programs mustcome together to develop a commonvision, set priorities, understand diversemandates and perspectives, and developa strategic implementation plan.

• As systems of care develop, there is a need to address the inherent gaps in funding and billing for mentalhealth consultative services for youngchildren and families and child care providers.

If we continue as a nation to commitourselves to meeting the social andemotional needs of our youngest citizens,those children will be more successful inschool and in life. Some of these childrenwill avoid costly and more intensiveremedial services at a later age, and theywill be better able to develop friendshipsand ultimately nurture their own children.

95

I F W E C ON T I N U E AS A NAT ION to commit

ours elves to meeting the s oc i al and

e motional needs of our youngest c it i ze ns ,

thos e chi ldre n w il l be more successf ul in

s chool and in life .

R E F E R E NC E S

Chazan-Cohen, R., Jerald, J., & Stark, D. (2001) Acommitment to supporting the mental health of ouryoungest children. Zero to Three, Volume 22 (1): 4-12.

Cohen, E. & Kaufmann, R. (2000) Early ChildhoodMental Health Consultation. Washington, DC: Centerfor Mental Health Services, Substance Abuse and MentalHealth Services Administration, U.S. Department ofHealth and Human Services.

Fenichel, E. & Mann, T. (2001) Early Head Start for low-income families with infants and toddlers. TheFuture of Children, Volume 11(1): 135-141.

Florida State University Center for Prevention and Early Intervention Policy. (2000) Florida’s Strategic Planfor Infant Mental Health. Tallahassee, FL.: FloridaDevelopmental Disabilities Council.

Indiana Family and Social Services Administration and Department of Health (2001) Final Report:SPRANS Project. Unpublished manuscript.

Hanson, L., Deere, D., Lee, C., Lewin, A., & Seval, C.(2001) Key Principles in Providing Integrated BehavioralHealth Services for Young Children and Their Families:The Starting Early Starting Smart Experience.Washington, DC: Casey Family Programs and the U.S.Department of Health and Human Services, SubstanceAbuse and Mental Health Services Administration.

Johnson, K. (Forthcoming). Creative fiscal strategies to enhance emotional health in young children: Casestudies of community and state initiatives. New York, NY:National Center for Children in Poverty, ColumbiaUniversity and Georgetown University ChildDevelopment Center.

Knitzer, J. (2000) Using Mental Health Strategies to Move the Early Childhood Agenda and Promote SchoolReadiness. New York: Carnegie Corporation of NewYork and the National Center for Children in Poverty.

McCart, L. & Steif, E. (1995) Governors’ Campaign forChildren: An Action Agenda for States. Washington, DC:National Governors’Association.

National Research Council and Institute of Medicine(2000) From Neurons to Neighborhoods. Ed. J.Shonkoff & D. Phillips. Washington, DC: NationalAcademy Press.

Phillips, D. & Adams (2001) Child care and our youngestchildren. Future of Children, Volume 11(1): 35-51.

Positive Education Program (2001) Day Care PlusAnnual Report: July 2000 through June 2001.Unpublished manuscript.

Steubbins, H. (1998) Improving Services for Children in Working Families. Washington, DC: NationalGovernors’Association

Tyminski, R. (2001) A Final Report of an Evaluation of Mental Health Consultation in Child Care Centers:San Francisco’s High Quality Child Care Initiative (1999-2001). Unpublished manuscript.

Vermont Agency for Human Services. (1998) An Invitation to Promote Children’s Upstream Services(CUPS). Unpublished manuscript.



Promoting Social and Emotional Readiness for School:Toward a Policy Agenda

JANE KNITZER, ED.D.

National Center for Children in Poverty

Columbia University, New York, NY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

99


100I M P L I C A T I O N S F O R P O L I C Y A N D P R A C T I C E

P r o m o t i n g S o c i a l a n d E m o t i o n a l R e a d i n e s s f o r S c h o o l : To w a r d a P o l i c y A g e n d a


P R O M O T I N G S O C I A L A N D E M O T I O N A L

R E A D I N E S S F O R S C H O O L :T O W A R D A P O L I C Y A G E N D A

J A N E K N I T Z E R E D . D .



Babies who cannot explore their worldsin safety or trust the adults who care forthem, toddlers who cannot learn to putwords to emotions, preschoolers who fall apart when an adult says no, or whorepeatedly fight with and bully otherchildren are all children who are notdeveloping age-appropriate social,emotional and behavioral skills. Somechildren outgrow problems like these.But for many others, such behaviors arered flags. If the problems are persistentand the infants, toddlers and youngchildren do not get help, they may notdevelop the skills needed to succeed in the early school years.

Until recently, how to help these youngchildren has not been a focus of muchpolicy attention. But this is changing fortwo reasons. The first is the explosion of knowledge about how a child’s earlyrelationships set the stage, not just forlater emotional development, but alsocognitive development and academicachievement (Shonkoff & Phillips, 2000;Thompson, this volume). This knowledgeprovides a powerful rationale for preven-tive and early intervention.

The second reason is that the field issearching for help. Home visitors, childcare providers, Head Start and EarlyHead Start teachers and family supportworkers all report concern about thechildren they serve and great frustrationat not knowing how to help many ofthese children and sometimes theirfamilies (Yoshikawa & Knitzer, 1997).

In response, a group of pioneering statesand communities are crafting strategiesto respond to both the science and theneed (Kaufmann and Perry, this volume).This paper explores the lessons fromthese initiatives for developing a broaderpolicy agenda to promote healthy socialand emotional development and schoolreadiness in young children. It highlightsthe emerging consensus about core policycomponents as well as policy challengesand opportunities.

U N T I L R E C E N T LY, HOW TO help thes e young

childre n has not bee n a foc us of much

polic y at te ntion.Jane Knitzer, Ed.D.

Deputy Director

National Center for

Children in Poverty

Joseph L. Mailman

School of Public Health

Columbia University

154 Haven Avenue

New York, NY 10032

phone: 212--304-7124

[email protected]


FRAMING THE POLICY CHALLENGE

From a broad policy perspective, the firstline of defense in promoting emotionalhealth and school readiness in youngchildren is ensuring that their familiesare economically secure and able to accessbasic supports (including food, healthcare, housing, and transportation) forthemselves and their children. Equallyimportant is access to high-quality earlycare and learning experiences. But forsome children, this will not be enough.There also is a need for policy and practicestrategies that are designed explicitly toaddress the emotional, behavioral andsocial developmental challenges facingso many young children. Increasingly,such efforts are referred to as “infant” or“early childhood” mental health, althoughsome prefer simply to speak of strategiesto promote healthy social and emotionaldevelopment or to prevent early schoolfailure. (In this paper, the term earlychildhood mental health is used.) Farmore important than the term, howeverare guiding goals and principles. Here a consensus seems to be emerging goalsand objectives, services and servicedelivery mechanisms (Knitzer, 2001,Hanson et al, 2001).

PROMOTING EMOTIONALREADINESS FOR SCHOOL:CORE POLICY COMPONENTS

G OA L S A N D OB J E C T I V E S : The overallaim of early childhood mental healthservices is to improve the social andemotional well-being of young childrenand promote age-appropriate social andemotional skills, particularly those thatwill enhance the likelihood of success in the early school years (Knitzer, 2000).Because the needs of the young childrenand families are so varied, approaches ofdifferent intensities are required. Preventiveapproaches, for example, might offerparents information, mentoring orinformal support. But more typically,some kind of early intervention, eitherfocused on parent-child relationships,or helping other caregivers respond moreappropriately to the child’s behaviors is necessary. A small number of youngchildren and their families also requiremore specialized treatment to preventfurther damage and reverse early harms.From this, flow four objectives for earlychildhood mental health.

The first objective is to enhance theemotional and behavioral well-being of infants, toddlers and preschoolers,particularly those whose development iscompromised by risk factors. Embeddedin this objective is a two-fold challenge.The first is to promote the well-being of

101

F ROM A B ROA D P OL IC Y perspec t ive , the

f irst line of defe ns e in promoting e motional

health and s chool readiness in young

childre n is e nsur ing that the ir families are

economical ly s ec ure and able to access

basic suppor t s ( including food , health care ,

housing, and transpor tat ion ) for

the ms elves and the ir chi ldre n . Equ al ly

impor tant i s access to high - qu alit y early

care and lear ning ex per ie nces . But for

s ome chi ldre n , this w il l not be enough.

T H E F I R ST OB J E C T I V E I S to e nhance the

emotional and behav ioral wel l-being of

infant s , toddlers and pres choolers ,

p ar t ic ularly thos e w hos e de velopme nt

i s compromis ed b y r isk fac tors .

all infants, toddlers and preschoolersthrough promotions of emotional healthand preventive strategies. But it alsoencompasses more challenging set oftasks, to promote healthy emotionaldevelopment in the rather large group of young children, particularly low-income children, who are at risk ofdeveloping more serious emotional and behavioral problems by virtue ofexposure to significant risk factors. Suchrisk factors include poverty, low levels of maternal education, high levels ofmaternal depression, early experiences of inconsistent and harsh parenting, andexposure to substance abuse, domesticviolence, child abuse or other trauma(Danziger, 2000; Knitzer, 2000 ).

Research repeatedly finds that the morerisk factors to which young children areexposed, the more likely they are toexperience poor emotional and cognitiveoutcomes (Aber, Jones & Cohen, 1999;DelGudio, Weiss & Fantuzzo; Huffmanet al, 2000). Unless there are concertedefforts to help these young childrenmanage their impulses and feelings andlearn how to problem-solve in conflictsituations, it is unlikely that they willsucceed when they get to kindergarten.Early school failure, in turn, sets the stage for later school failure and perhapsinvolvement with high-cost specialeducation, juvenile justice and childwelfare systems.

The second objective is to help parents bemore effective nurturers. The early parent-child relationship is critical to giving youngchildren a healthy emotional start. Insome instances helping parents be moreeffective nurturers may simply meanproviding them with access to betterinformation about what to expect frombabies, or how to deal with predictabledevelopmental problems. Or it may meanensuring that they get help with thespecific (and sometimes multiple) barriersthat they face. (Parents in this contextmeans anyone who serves as the primarycaregiver(s) for a child, includinggrandparents, other relatives, foster-careparents, kinship caregivers, etc, as well asnon-custodial parents, typically fathers.)Especially important is ensuring that theyhave opportunities to learn new ways ofrelating to, communicating with andproviding appropriate stimulation to theirchildren as they grow from infants totoddlers to preschoolers.

The third objective is to expand thecompetencies of other caregivers,especially child care providers andteachers, to prevent and address social,emotional and behavioral problems.As young children spend more time inchild care and early learning settings,the opportunities to enhance or impedetheir early development multiplies.



T H E SE C ON D OB J E C T I V E I S to help pare nt s

be more ef fec t ive nur turers .

T H E T H I R D OB J E C T I V E I S to ex pand the

compete nc ies of other careg ivers , espec i al ly

child care prov iders and teachers , to pre ve nt

and address s oc i al , e motional and

behav ioral problems .

Therefore, it is crucial that child careproviders, home visitors, family-supportworkers, Early Head Start and Head Startstaff, and child welfare workers have theskills they need to promote the emotionalwell-being of infants, toddlers, and pre-schoolers. Poor infant toddler care, forexample, increases the likelihood of manynegative encounters between babies,toddlers and their caregivers aroundlanguage, emotional and cognitivedevelopment. Inappropriate responsesfrom teachers in the preschool years mayresult in the escalation of problems ratherthan their reduction (Arnold, McWilliams,& Arnold, 1999). Perhaps most compelling,the converse is also true: Research pointsto the protective impact of warm,supportive teachers on young children’ssuccess in transitioning to school(Feinberg-Peisner et al., 1999).

The evidence suggests now that manychild care providers and teachers nowfeel they do not know how to help youngchildren whom they believe are “introuble.” Preschool teachers report thatchildren’s disruptive behavior is thesingle greatest challenge that they face(Arnold, McWilliams and Arnold, 1998;Yoshikawa & Knitzer, 1997). In manycommunities, young children are beingkicked out of programs because of their

behaviors. This exposes the children toprofound rejection and puts great strainon parents. Equally troubling are datasuggesting that children with the mostpersistent behavior problems do notimprove in that domain over the courseof the year in Head Start programs(USDHHS, 2001; Zil, 1999). Takentogether, the implications are clear.There is an urgent need to developsupport systems (along with better pay)for teachers and child care providers so that they can better help youngchildren learn new ways of regulatingtheir feelings and impulses, of relating to other children and of interacting with adults more appropriately.

The fourth objective is to ensure that themore seriously troubled young childrenget appropriate help. Infants, toddlersand preschoolers experiencing atypicalemotional development need, along with their families, ready access to moreintensive, specialized treatment, buildingon emerging clinical knowledge.Prevalence data suggest that about 4% to7% of young children have conduct-typedisorders (Cambell, 1997, Kupersmidt,Bryant and Willoughby, 2000). Using a broader set of psychiatric criteria, onestudy, involving 3,800 preschoolers,reported 21% of the children showedsigns of psychiatric disorder, 9% of themsevere (Lavigne et al.1996). At the sametime, the actual identification of childrenas seriously emotionally disturbed (SED)

103

R E SE A RC H P OI N TS TO the protec t ive impac t

of war m , suppor t ive teachers on young

childre n’s success in transit ioning to

s chool . The e v ide nce sug gest s now that

many chi ld care prov iders and teachers

now feel the y do not know how to help

young chi ldre n w hom the y belie ve are

“in trouble.”

T H E F OU RT H OB J E C T I V E I S to e nsure that

the more s er iously troubled young chi ldre n

get appropr i ate help.



B EYON D E STA B L I SH I NG go als , polic y m akers

face the chal le nge of de veloping s er v ices

appropr i ate to the task — promoting

healthy e motional de velopme nt in al l

young chi ldre n , including high - r isk young

childre n and in young childre n in need

of more inte nsive treatme nt .

A T H I R D, A N D V E RY I M P ORTA N T s et of

s er v ices are thos e targeted to non - pr im ar y

careg ivers , such as chi ld care prov iders ,

teachers and home v is itors .

young children is much lower, under 1%of Head Start children a year are identified(Lopez et al, 2000), although evidencealso shows that a substantial number ofyoung children with serious emotionaland behavioral problems are identifiedas having speech and language disorders( Sinclair et al, 1993).

C OR E SE RV IC E S . Beyond establishinggoals, policymakers face the challenge of developing services appropriate to thetask — promoting healthy emotionaldevelopment in all young children,including high-risk young children and in young children in need of moreintensive treatment. Lessons from earlyefforts and from research provide someinsights about what services can increasehealthy social and emotional responsesin young children and reduce harmfuland destructive ones.

Some of the services focus primarily on the children. Examples of theseinclude individualized classroom-basedinterventions, as well as universal programsto promote social skills and emotionalproblem-solving in all young children.Another cluster of services focus onparents. They aim to transform parenting

practices so that parents and youngchildren relate in new, more positive and pleasurable ways with each other.Examples include intensive parent skillstraining (Webster-Stratton, 1998);sometimes offered to groups of parents,for example, through Head Start,sometimes to individual parents, (withmentor parents as trainers), family-to-family support, targeted interventions topromote language and communicationskills in families with young children(Hancock, Kaiser & Delaney, submitted)and infant mental health therapies(Zeneah, 2000). Some of theseapproaches may be embedded intofamily support strategies, for example,in Head Start programs.

A third, and very important set of servicesare those targeted to non-primarycaregivers, such as child care providers,teachers and home visitors. The generalterm used for these types of services is early childhood mental healthconsultation, which involves thedevelopment of a sustained relationshipbetween an early childhood mentalhealth consultant and early childhoodprograms (Cohen & Kaufmann, 2000,Donahue, Falk & Provet, 2000,Yoshikawa& Knitzer, 1997, Casey Family Programs& DHHS, 20001, & Knitzer, 2000a).Typically, these involve center-basedchild care, Head Start, and sometimespre-kindergarten. Increasingly, there arealso efforts to make consultation availableto family child care providers, particularlywhen young children are at risk of beingexpelled for behavioral reasons. (Lessfrequent are consultants for home-visitors,although here, too, the need is great.)

Early childhood mental health consultantsenter into the culture of the program andare able to meet a variety of needs, some-times working with the staff, sometimeswith specific children, and sometimeswith families. They are in a key positionto help focus deliberate attention onstrategies to help children get ready forschool, preparing them for transitionsand helping them learn needed skills andbehaviors. (For an overview of researchon early childhood mental healthstrategies, see Donahue; Kaufmann and Perry, this volume.)

Researchers also are beginning to designand test out more systematic interventions,some combining strategies targeted toparents and caregivers (Webster-Stratton,2001), others combining efforts toenhance behavioral skills and schoolreadiness cognitive skills, particularlylinked to reading (Arnold et al, 1999,Kupersmidt, personnel communication).Finally, early childhood mental healthservices also encompass more specializedtreatment services. Examples include:intensive community-based strategiessuch as therapeutic child care, playgroups, family-to-family support groups,crisis and respite services, and wrap-around services for the children andfamilies. They also include referralstrategies to adult treatment services forproblems such as depression, substanceabuse or domestic violence.

105

E A R LY C H I L DHO OD me ntal health

consultant s e nter into the c ulture of the

prog ram and are able to meet a var iet y

of needs , s ometimes working w ith the staf f,

sometimes w ith spec if ic chi ldre n , and

sometimes w ith families .

R E SE A RC H E R S A L S O A R E beg inning to desig n

and test out more syste m atic inter ve ntions ,

s ome combining strateg ies targeted to

pare nts and careg ivers others combining

ef for t s to enhance behav ioral ski l l s and

s chool readiness cog nit ive ski l l s , par t ic ularly

linked to reading.

C H A R AC T E R I ST IC S OF E F F E C T I V E

SE RV IC E S . Regardless of their focus oflevel of intensity services to promoteemotional health and school readinessall share several characteristics (Knitzer,2001). They are:

• grounded in developmentalknowledge. Early childhood mentalhealth systems of support need to bedeeply grounded in developmentalknowledge of what is typical andatypical for infants, toddlers andpreschoolers. Additionally, thetheoretical-knowledge base shouldinclude understandings of familydevelopmental processes and adultlearning strategies, since many ofthe interventions focus on helping the adults in closest contact with thechildren be more effective nurturers.

• relationship-based. At the core ofhealthy emotional development areresponsive, sensitive child caregiverinteractions that occur over time andacross contexts. That means systems of support must be designed to fosterhealthy relationships among parentsand children, children and caregiversand caregivers and parents.

• family supportive. Except when thereare issues of safety, in general, the bestway to help young children is to helptheir primary caregivers ability to meetthe children’s emotional and otherneeds. This requires a respectfulpartnership with families, even themost troubled families, as well as awillingness to address the concreterealities that families face (e.g. adifficult transition to work, parental ill health or housing problems).

• consistent with the culture of earlychildhood programs. Effective earlychildhood mental health services bring a strengths-based mental healthperspective that can be integrated intothe daily experiences of the children, thefamilies and the staff. The aim is to enrichthe experiences so that the children can benefit. It should not be seen assomething separate and apart. This is,in effect, consistent with the best school-based mental health strategies that buildon and are respectful of the schoolculture while trying to meet not just theneeds of the children but of the teachersand the administrators.

• delivered in settings trusted by thefamilies. Effective services are deliveredin settings that are most comfortableto, and most trusted by, children andfamilies, including their own homes,center- or family-based child care,Head Start, Early Head Start orpreschool programs, pediatric officesor well-baby clinics. Early childhoodmental health services must also reach into other settings where youngchildren are found, such as shelters for homeless families and batteredwomen and their children (Dicker,Gordon & Knitzer, 2001).



CAREGIVERS AND MENTAL health professionals

must be s e nsit ive to dif fere nt c ultural

t ra dit ions , able to a ddress and res olve c ross -

ethnic and rac i al conf lic t s about core

child - rear ing task s , s leeping, eating and

dis c ipline , comfor table in working w ith

childre n , families and staf f who are rac i al ly

and ethnical ly divers e.

• responsive to the community andcultural context. This is anenormously complex challenge.It means that caregivers and mentalhealth professionals must be sensitiveto different cultural traditions, able toaddress and resolve cross-ethnic andracial conflicts about core child-rearingtasks, sleeping, eating and discipline,comfortable in working with children,families and staff who are racially andethnically diverse.

C H A R AC T E R I ST IC S OF E F F E C T I V E

SE RV IC E DE L I V E RY SYST E M S .

Consistent with the idea that earlychildhood mental health reflects acombined public health/mental healthmodel, emerging services deliverysystems also share several organizationalsimilarities. They:

• “build on” existing early childhoodprograms. Over the last several years,there has been a significant, if uneven,growth in investments in child develop-ment and family support programsacross the states. Thirty-one states nowfund programs, including six thatsupplement Early Head Start. Some of these infant-toddler programs areuniversal (e.g. home visiting programsfor first time parents), but many othersare targeted to high-risk families. Forty-three states are investing in programsfor preschool-aged children (Cauthen,Knitzer & Ripple, 2000). Together, thisnetwork of programs provides thefoundation for investments in earlychildhood mental health. The emerginginfant-toddler programs, for example,can and should “help parents be moreeffective nurturers” by becoming thefocal point for parent-centered earlychildhood mental health services.

The preschool programs can andshould become the focal points forstrategies to “help non-primarycaregivers” better meet the social,emotional and behavioral needs ofyoung children.

• involve new kinds of partnershipsand outreach to a broad group ofstakeholders. Virtually all the emergingearly childhood mental health initiativesinvolve new kinds of partnerships. Inone community initiative for example,the partners included an early inter-vention agency, a community mentalhealth board and a local child careresource and referral agency; in others,an interagency, citywide early childhoodcouncil, a mayor’s office and a mentalhealth agency.At the state level,partnerships have been even broader;in Vermont, for example, they includefamilies, state mental health and earlychildhood programs (including thechild care subsidy program and theHead Start collaboration office) as wellas health, child welfare, substance abuseand domestic violence agencies. Schoolscould and should also be key players in emerging partnerships to promotesocial and emotional skills in youngchildren before they enter school toenhance their school readiness.

• include attention to outcomemeasures, especially those related to school readiness. Building an earlychildhood mental health system ofsupport requires an investment ofresources, typically public, but privateas well. It is important to developmechanisms to assess the impact ofthat investment, particularly in termsof school readiness and early learning.

107

School personnel and communities needto know, for example, if investments inearly childhood mental health strategiespay off in reduced rates of retention inkindergarten, first and second grade, orin reduced use of special education, or in improved reading scores by the fourthgrade. To this end, many communitiesare developing frameworks and indicatorsto be able to provide an aggregate pictureof how well their young children do acrossmultiple dimensions of school readiness,including social and emotional skills.

P OL IC Y C H A L L E NG E S

As policymakers recognize the deepconnections between social and emotionaldevelopment, reading and other academicoutcomes, it is important to be aware offive predictable policy challenges.

F I N DI NG T H E R IG H T L A NG UAG E .

Talking about early childhood mentalhealth to families, to policymakers andto the general public can be problematic.The term mental health is associatedwith adults, with stigma and with beingcrazy, certainly not with infants, toddlersand preschoolers. Hence its use is off-putting, or simply incomprehensible to

many. In response, many emerginginitiatives simply do not use the term,except as necessary for funding. Butvirtually all face the challenge of describingthe need and helping the broader publicto recognize that young children, eveninfants and toddlers, do face emotional,social and behavioral challenges, thatthese can interfere with academic learning,and that there are strategies that can helpeven before the children get to school.

FINDING THE FUNDS. Finding theresources to build early childhood mentalhealth systems is challenging. One problemis that there is no dedicated funding streamfor early childhood mental health services,particularly for the vast majority of youngchildren who do not have, and should nothave a diagnosis but who, by virtue ofmultiple risk factors, are likely to developproblems. (Mental health dollars aretypically targeted only to children with serious emotional and behavioraldisabilities and in practice, most oftenonly to older children.) This means thatcommunities and states must be creativein identifying and combining sources of support to serve the broad populationof young children in need who do notand should not have a diagnosis, but whoare experiencing challenging behaviorsand problems.



T H E R E I S A N E E D TO H E L P the bro ader

public to recog ni ze that young chi ldre n ,

e ve n infant s and toddlers , do face

e motional , s oc i al and beh av ioral

chal le nges , that thes e can inter fere w ith

acade mic lear ning, an d that there are

strateg ies that can help e ve n before the

childre n get to s chool .

F I N DI NG T H E R E S OU RC E S to build early

chi ldhood mental health syste ms is

chal le ng ing. O ne proble m is that there is

no dedicated f unding stream for early

chi ldhood mental health s er v ices .

109

T H I S M E A N S T H AT communit ies and states

must be c reative in ide ntif y ing and

combining s ources of suppor t to s er ve the

bro ad population of young chi ldre n in

need w ho do not and should not have

a di ag nosis , but w ho are ex p er ie nc ing

chal le ng ing behav iors and proble ms .

T H E A R R AY OF F E DE R A L prog rams that might

pote ntial ly be used i s broad. E ach car r ies

w ith it spec i al chal le nges , but als o

oppor tunit ies , as communit ies ac ross

the countr y are de monstrating.

Second, in some communities, it is alsodifficult to pay for consultation servicesto child care providers, teachers andothers who care for young children,despite the fact that they are critical tosystematic efforts to helping these youngchildren. States and communities thatare tackling these fiscal challenges aredoing so in three ways: they are usingstate dollars selectively, including state mental health dollars; they areseeking funds through foundations and other local resources; and, mostimportantly, they are using federaldollars from a variety of differentprograms creatively and in combination (Johnson, forthcoming).

The array of federal programs that mightpotentially be used is broad (Wishman,Kates & Kaufmann, 2001). Each carrieswith it special challenges, but alsoopportunities, as communities across thecountry are demonstrating. For example,to fund early childhood mental healthconsultation, states and communitieshave used the quality improvement fundsof the Child Care and Development Fund.That program requires states to use 4% of the funds for quality improvementstrategies, one of which is enhancing the ability of caregivers to respond to thesocial and emotional needs of youngchildren. Similarly, they have used theTemporary Assistance to Needy Families

(TANF) program to fund early childhoodmental health consultation. Suchconsultation is intended to prevent thedisruption of stable child care (becauseof a child’s behavior) that would make itharder for a parent to continue to work.Title I of the Elementary and SecondarySchool Act, and Medicaid are alsopotential sources of support, the laterparticularly for child and parent andchild-focused services.

Federal programs that fund services for children with special needs also are a potential source of funding. For example,Part C of the federal Individuals withDisabilities Education Act (IDEA),which is intended to help infants andtoddlers with developmental delays (andin some states, those at risk of delays),provides a point of entry to addressemotional and relationship issues in

these infants and toddlers. Child welfaredollars could be used to support cross-training of early childhood and mentalhealth professionals who serve abusedand neglected children either in childcare or in more specialized settings.Federal mental health throughComprehensive Mental Health ServicesProgram for Children and Families alsoprovides a potential source of fundingprimarily for the most seriously troubledyoung children, as program funds are now used for only children withidentified serious emotional andbehavioral disorders.

BU I L DI NG T H E E X PE RT I SE . Those whoprovide services and supports to preventproblems and restore emotional healthto young children and their families needa broad range of skills — knowledge aboutchild development, clinical sensitivityand expertise, understanding of familydynamics, and skill in working withchildren and families from economically,racially and ethnically varied cultures.There are simply not enough people withthese skills to address the need.Virtuallyall the emerging initiatives uniformlyreport that recruiting and hiring is amajor challenge (Knitzer, 2001).

E N SU R I NG A ST RONG FA M I LY VOIC E .

Ensuring a strong family voice has beenkey to improving mental health servicesfor older children; it is also key to buildingservices for younger children that reallymeet family needs. But ensuring a strongfamily voice at the planning and policylevel as well as at the individual servicelevel requires a commitment frompolicymakers to reach out to familiesand family organizations and to fund the parent liaison roles and leadershipdevelopment that can make familyinvolvement real.

I NC R E ASI NG T H E A B I L I T Y TO T R AC K

OU TC OM E S , E F F IC AC Y A N D C O ST.

As social and emotional developmentbecomes more integrated into the largerearly childhood and school readinessagenda, it also is vital that efforts todevelop outcome indicators and bench-mark estimates of success be refined.Some work on this is beginning, withstates taking a number of variedapproaches.Vermont, for example, isrelying on reports from kindergartenteachers and health professionals. Otherstates, such as North Carolina, are linkedto indicators developed for broader statemandated assessments. To deepen boththe local and state picture, it is importantthat indicators of social and emotionaldevelopment be included in schoolreadiness assessments.



T HO SE W HO PROV I DE s er v ices and

suppor t s to pre ve nt proble ms and restore

emotional health to young chi ldre n and

the ir families need a bro ad range of ski l l s .

AS S O C I A L A N D E MOT IONA L de velopme nt

becomes more integ rated into the larger early

childhood and s chool readiness age nd a , it

als o i s v ital that e f for t s to de velop outcome

indicators and be nchm ark est im ates of

success be re f ined .

P OL IC Y OP P ORT U N I T I E S

In addition to the opportunities to useexisting federal dollars creatively in theservice of promoting social and emotionalskills in young children and addressingproblems highlighted above, there areother ways in which the federal policyframework is providing, or might provide,support for the needed infrastructureand service development. Two arehighlighted here.

BU I L DI NG ON T H E F E DE R A L S C HO OL

R E A DI N E S S AG E N DA . In 1994,Congress enacted the Educate AmericaAct (P.L. 103-277) that included as thefirst goal “all children shall enter schoolready to learn.” This goal provides apotentially powerful organizing frame-work through which to mobilizepartnerships and activities to addresssocial, emotional and behavioralchallenges in young children that willprevent them from succeeding in school.In fact, the realization that young childrenwere not emotionally ready for schoolwas a critical motivating factor in thedevelopment of the Vermont’scomprehensive statewide early childhoodmental health system and is increasinglya factor in other emerging initiatives(Kaufmann & Perry, this volume).

At the same time, there is a very importantnuance. Many policymakers andcommunity leaders focus school readinessstrategies on 3- and 4-year-olds. Butresearch shows powerfully that whathappens in the infant/toddler years setsthe foundation for the kinds of skillspreschoolers need to make a successfultransition to school (Institute of Medicine,2000).As Thompson notes (this volume),school readiness is both a “developmental

process and an outcome.” This under-scores the importance of using the schoolreadiness framework to invest not just in strategies for preschoolers, but also for infants and toddlers, particularly themore vulnerable children . The schoolreadiness framework is also powerful foranother reason. It provides a way tocenter attention on strategies to preventearly school failure. In so doing, it shiftsthe focus from “mental health,” whichcarries with it overtones of a medicalmodel and stigma, to a much more“user-friendly” framework that istransparent to all — the need for success in school. Thus it opens up the possibility of new dialogue aboutintegrating social and emotionalstrategies with cognitive strategies.

F OU N DAT ION F OR L E A R N I NG AC T.

During the 107th Congress, legislationwas introduced in Congress that explicitlycalls for services for young children, theirfamilies and their other caregivers toreduce the risk of early school failure.Known as the Foundations for LearningAct, the intent is to support three typesof services explicitly intended to preventearly school failure by virtue of socialand emotional issues:

111

AS T HOM P S ON NOT E S , s chool readiness

i s both a “de velopmental process and an

outcome.” This unders cores the impor tance

of using the s chool readiness f rame work to

invest not just in strateg ies for pres choolers ,

but als o for infant s and toddlers ,

p ar t ic ularly the more v ulnerable chi ldre n .

a) screening and service plan development;

b) child and family support services; and

c) consultation and specialized trainingservices around social and emotionalissues to providers of early childhoodservices.

The legislation builds directly on thelarge and compelling body of knowledgeabout the relationship between riskfactors and poor outcomes. It conditionseligibility not on diagnoses, but onexposure to two or more risk factorsknown to be linked to poor schooloutcomes. These include low-birthweight, and low income, but also riskfactors linked explicitly known tonegatively affect emotional development,such as parental substance abuse anddepression; abuse, maltreatment orneglect; early behavioral and peerrelationship problems; and removalfrom, or at risk of removal from, childcare for behavioral reasons.

The legislation is conceptually importantbecause it focuses squarely on earlyintervention in normative settings inwhich young children are found, itbuilds on the large body of scienceabout the negative impact of multiplerisk factors, and, in calling for services“to prevent early school failure,” it alsobypasses the major current policydilemma, how to pay early childhoodmental health services without givingyoung children a diagnosis. As such, itprovides a model that states can use indeveloping their own legislative frame-works to ensure that young childrenenter school ready to succeed.

TOWA R D T H E F U T U R E

Building a school readiness agenda thataddresses the needs of children whoseemotional development is compromisedis clearly a compelling need that hasramifications for academic success in the early school years. Prevalence data,research on the long-term consequencesof exposure to multiple risk factors in early childhood, the concerns ofpractitioners and the imperatives imposedby national school readiness goals allpoint in the same direction. Drawing on the lessons from emerging state and community practice and policyinitiatives, below are eight recommenda-tions that provide a framework for futurelocal, state and federal policy action.

• Address emotional readiness in thecontext of normative development forinfants, toddlers and preschoolers.The network of child care, Head Start,early Head Start and home visitingearly childhood services for infants,toddlers and preschoolers that exists in every state and community providesa powerful point of entry to infuseintentional strategies to promotesocial, emotional and behavioralcompetence in young children,particularly those whose early



BU I L DI NG A S C HO OL readiness age nd a that

address es the needs of childre n w hos e

emotional de velopme nt is compromis ed

i s c learly a compel ling need that has

ramif icat ions for acade mic success in

the early s chool years .

experiences do not provide them with the needed ingredients for age-appropriate development.

• Build broad state and communitypartnerships to develop earlychildhood mental health servicesand systems. Key stakeholders includefamilies, the early childhood and themental health communities. Butpartnerships should also reach out to others who have a vested interest in seeing that young children succeed,for example school officials, law enforce-ment officials (who are increasinglyinterested in early intervention), andthe business community, which needsan emotionally competent, literate work force.

• Develop strategies to fund an arrayof services and supports to helpyoung children, especially the morevulnerable, achieve success in thetransition to school. These servicesand supports should encompassassessment strategies, services targetedto help parents (including all primarycaregivers) to help parents and childrentogether and to help children, andservices targeted to other, non-familycaregivers. They should be available inthe context of normative settings (suchas family homes, health clinics, centerand family-based child care, Head Start,Early Head Start and preschools) andin settings serving children and familiesalready identified as in trouble (such ashomeless shelters, child welfare agenciesand the courts). Special attention shouldbe paid to getting infants and toddlersoff to an emotionally healthy start.To the extent possible, interventionsshould build on the existingknowledge base.

• Maximize the impact of existingfederal programs and dollars andsupplement these with state, localand private resources. Many federalprograms can be used as importantentry points for developing a range of child-focused, family-focused andprovider-focused services and inter-ventions to young children at risk ofearly school failure by virtue of socialand emotional problems. Communitiesand states may find the Child Careand Development Fund qualityimprovement set aside, TANF, Part C,Medicaid and SCHIP funds especiallyhelpful in stimulating new initiatives.

• Develop strategies to increase thesupply of appropriately trainedspecialists. Clinical training typicallydoes not include any specialized focuson young children and families, eitherthrough psychology, social work orpsychiatry. Nor can child developmentprofessionals find ways to enhancetheir own skills in dealing with the levelof behavioral disruption reflected inprograms serving young children.Policy incentives to promote both in-service and pre-service training are critical at both the local andcommunity levels.

113

SPE C I A L AT T E N T ION SHOU L D be paid to

get t ing infant s and toddlers of f to an

e motion al ly healthy star t . To the ex te nt

possible , inter ve ntions should build on

the ex ist ing knowledge bas e.



• Develop social and emotionaloutcome indicators and benchmarks.The scientific base for emphasizingboth social and emotional, as well ascognitive competencies to achieve the goal of school readiness is clear(although surprisingly controversial insome political contexts). The challengeis to develop explicit indicators thatcan be used to assess community andstate progress toward meeting theoverarching goals: ensuring that allyoung children, including those facingsocial, emotional and behavioralchallenges in the early years, enterschool ready to learn.

• Develop a research agenda to fill inthe gaps in the knowledge base about“what works” and to translate theresearch into useable information forthe practitioner and policy community.From a scientific perspective, we know far more about the causes andconsequences of poor emotionaldevelopment in young children thanwe do about how to interrupt thosecauses and consequences. Some dataon the efficacy of interventions isbeginning to emerge, but it needs to be expanded.

• Make the existing federal frameworkmore responsive to social andemotional issues in young childrenand provide new resources to supportand evaluate services to preventearly school failure by virtue ofsocial and emotional issues. Onegoal should be to strengthen existinglegislation to ensure explicit attention promoting the emotional well-beingof vulnerable young children acrossthe many federal programs that alreadyexist. For example, as Early Head Startexpands, it might be possible to provideenriched funding to ensure the programis robust enough to meet the needs ofthe most vulnerable families. Similarly,providing incentives to existing federallyfunded children’s mental healthprograms to better address the needsof young children would be helpful.At the same time, there is a need to continue to promote and enactlegislation like the Foundations forLearning Act.

C ONC LU SION

Paying attention to the healthy emotionaldevelopment of young children and howit can promote school readiness can nolonger be put off. Developmental researchcompels new attention to social, emotionaland behavioral challenges facing youngchildren, even as promising interventionstrategies are being generated bypractitioners and researchers.

Together, these provide a foundation forsound policy action that can result inimproved emotional health and schoolreadiness even in the most vulnerableyoung children.

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Arnold, D. H., Ortiz, C., Curry, J.C. et. A. (1999).Promotiong academic success and preventing disruptivebehavior disorders through community partnership.Journal of Community Psychology, 5, 589-598 .

Arnold, D.H., McWilliams, L. & Arnold, E.H. (1998).Teacher discipline and child misbehavior in day care:Untangling causality with correlatational data.Developmental Psychology. 34, 276-287.

Cambell, S. B. (1997). Behavior problems in preschoolchildren. Advances in Clinical Child Psychology, 19,pp. 1–26.

Cauthen, N, Knitzer, J., & Ripple, C. (2000). Map andTrack: State Initiatives for Young Children and Families.New York, NY: National Center for Children in Poverty,Columbia University Mailman School of Public Health.

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Cohen, E. & Kaufmann, R. (2000). Early ChildhoodMental Health Consultation. Washington, DC: U.S.Department of Health and Human Services, Center forMental Health Services, Substance Abuse and MentalHealth Services Administration (SAMHSA).

Danziger, S. K.; Corcoran, M.; Danziger, S.; Heflin, C.;Kalil, A.; Levine, J.; Rosen, D.; Seefeldt, K. S.; Siefert, K.;& Tolman, R. (2000). Barriers to the employment ofwelfare recipients. In R. Cherry & W. M. Rodgers (Eds.).Prosperity for All: The Economic Boom and AfricanAmericans. New York, NY: Russell Sage Foundation.

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ON E G OA L SHOU L D B E to stre ng the n

ex ist ing leg islat ion to e nsure ex plic it

at te ntion promoting the e motional

wel l - be ing of v ulnerable young chi ldre n

ac ross the m any federal prog rams that

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